Search for: "Securities and Exchange Commission"
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26 Aug 2022, 1:04 pm
Securities and Exchange Commission (SEC) announced two rule changes to further refine and incentivize whistleblowing through their highly successful whistleblower program. [read post]
22 Sep 2010, 6:00 am
Recently, the Securities and Exchange Commission announced that it had charged an investment adviser in Colorado with fraudulently recommending hedge funds to older investors. [read post]
21 Nov 2018, 9:21 am
On November 16, 2018, the Securities and Exchange Commission (“SEC”) issued a statement on the application of federal securities laws to the issuance and trading of, and investment in, digital asset securities. [read post]
30 Jan 2009, 7:55 am
The Securities and Exchange Commission ("SEC") issued a response earlier this month to a 'no action' request that further supports its view that tenant-in-common ("TIC") interests are securities as opposed to real estate. [read post]
22 Nov 2011, 7:20 pm
The Securities and Exchange Commission (the "Commission") initiated civil proceedings against a former hip-hop promoter who orchestrated a Ponzi scheme that bilked investors out of $5 million. [read post]
23 Jan 2019, 5:56 am
On December 19, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A allowing U.S. and Canadian companies that file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), to conduct securities offerings using Regulation A. [read post]
31 Jul 2023, 7:47 am
The Securities and Exchange Commission today charged Richard Heart (aka Richard Schueler) and three unincorporated entities that he controls, Hex, PulseChain, and PulseX, with conducting unregistered offerings of crypto asset securities that raised more…Read the Full Press Release Have a securities law question? [read post]
8 Aug 2013, 6:23 am
(“FINRA”) submitted an amendment to its Rule 6750 to the Securities and Exchange Commission (“SEC”). [read post]
31 Mar 2014, 2:37 pm
Responding to a request from the European Securities and Markets Authority (ESMA) to provide a consistent definition of derivative and derivative contract across the E.U., the European Commission essentially said that the vehicle to do this would be standards under MiFID II and asked for ESMA’s assistance. [read post]
24 Feb 2012, 9:52 am
Lisa Gilbert: “The Securities and Exchange Commission (SEC) is getting with the times and is now receptive to Public Citizen’s push to require publicly traded companies to disclose their political spending. [read post]
19 Apr 2019, 2:09 pm
A new bill, the Token Taxonomy Act was introduced to congress to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude digital tokens from the definition of a security, to direct the Securities and Exchange Commission to enact certain regulatory changes regarding digital units secured through public key cryptography, to adjust taxation of virtual currencies held in individual retirement accounts, to… [read post]
30 Sep 2021, 6:13 am
Securities and Exchange Commission. [read post]
14 Sep 2010, 10:53 am
While the exchanges bicker over the cost of implementing real-time market tracking systems (“Charges Bring SEC Hope for New Weapon,” Wall Street Journal, Aug. 30), on-the-ground whistleblowers remain the Securities and Exchange Commission's best "weapon" in both enforcement and deterrence. [read post]
25 Nov 2014, 6:19 am
Securities and Exchange Commission. [read post]
16 Feb 2015, 6:00 am
Securities and Exchange Commission. [read post]
19 Sep 2022, 11:05 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. [read post]
9 Aug 2017, 6:00 am
Securities and Exchange Commission (SEC) reminded the industry and so-called “disruptors” that federal securities laws may apply to some of these offerings. [read post]
21 Sep 2021, 8:00 am
On Tuesday, September 14th, the Securities and Exchange Commission (“SEC”) announced its first enforcement action against an alternative data provider, charging the company App Annie Inc. with securities fraud. [read post]
14 Apr 2010, 10:11 pm
A district court judge has denied James Blahnik’s motion for summary judgment in the United States Securities and Exchange Commission’s securities fraud cause against Delphi Corporation, a number of its senior officers, other employees, and an individual who worked for a third party. [read post]
13 Apr 2018, 2:13 pm
On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. [read post]
