Search for: "In Re Securities and Exchange Commission"
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5 Oct 2017, 9:30 pm
Securities and Exchange Commission (SEC) charged two companies, REcoin Group Foundation and Diamond Reserve Club, with defrauding investors seeking to buy “digital tokens” through a pair of initial coin offerings. [read post]
5 Oct 2017, 5:20 pm
See In re The First Marblehead Corp. [read post]
5 Oct 2017, 6:51 am
Problems started right at the beginning, according the complaints filed by FINRA and the Securities and Exchange Commission. [read post]
29 Sep 2017, 6:34 am
Securities and Exchange Commission Posted by Jay Clayton, U.S. [read post]
27 Sep 2017, 5:52 am
Securities and Exchange Commission Chairman Jay Clayton is taking heat over the fact that his agency was hacked in 2016, but nothing was mentioned about it until last week. [read post]
26 Sep 2017, 1:11 pm
The Securities and Exchange Commission today charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that he wasn’t trading in the companies being covered. [read post]
NCSLT Litigation Moratorium? – Expect confusion, inconsistent implementation, and need for follow-up
22 Sep 2017, 2:27 pm
On Sep. 18, 2017 the CFPB issued an administrative CONSENT ORDER that requires Transworld Systems, Inc. [read post]
18 Sep 2017, 9:53 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Brokers, Fined & SanctionedSpartan Securities Group, Ltd.Without admitting or denying the allegations, the firm consented to the sanctions and to the entry of findings that it failed to establish and implement an appropriate anti-money laundering (AML) program related to its business of accepting… [read post]
8 Sep 2017, 6:00 am
[More…] Robert Jackson of New York to be a Member of the Securities and Exchange Commission for the remainder of a 5-year term expiring June 5, 2019. [read post]
6 Sep 2017, 3:00 am
A Bloomberg BNA analysis found 436 companies cited “cybersecurity” as a risk factor in their Securities and Exchange Commission periodic filings in the first six months of 2017, compared to 403 companies in 2016 and 305 companies in 2015. [read post]
5 Sep 2017, 8:34 am
(As an aside, note that Exchange Act Section 18 can result in a company being liable for documents “filed” with the Commission.)The congresswomen note that Piwowar had voiced doubts about whether the conflict minerals rule is effective. [read post]
3 Sep 2017, 1:33 pm
Immigration and Customs Enforcement (ICE) for using a false social security number. [read post]
1 Sep 2017, 6:49 am
So they're willing to say that it was worth multimillion [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
25 Aug 2017, 8:51 am
” On March 10, 2016, the Securities and Exchange Commission took action against Aequitas, alleging they had defrauded more than 1,500 investors. [read post]
24 Aug 2017, 9:30 pm
Securities and Exchange Commission to discuss Spotify’s proposal to forego an initial public offering (IPO) and instead “list directly on the New York Stock Exchange,” which would be the first time a company has done so on the New York Stock Exchange. [read post]
22 Aug 2017, 9:10 am
“Many of these documents are on file with the Securities and Exchange Commission and can be view on its website. [read post]
22 Aug 2017, 5:00 am
., 2016 BL 376203 (Nov. 7, 2016), Walgreens Boots Alliance (“Walgreens”) asked the staff of the Securities and Exchange Commission (“SEC”) to permit omission of a proposal submitted by the Sisters of the Humility of Mary (“Shareholders”) requesting that the board of directors issue a report about the risks of the continued sales of tobacco products in Walgreens’ stores. [read post]
21 Aug 2017, 12:39 pm
In In re Stifel, Nicolaus & Co., Inc., Investment Advisors Act Release No. 4665 (admin proc Mar. 13, 2017), the Securities and Exchange Commission (“SEC”) filed an order instituting cease-and-desist proceedings against Stifel, Nicolaus & Co., Inc. [read post]
