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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]
21 Feb 2010, 9:10 am
On February 9, 2010, the Securities and Exchange Commission filed a complaint against two individuals for violations of the Securties Exchange Act of 1934 alleging that: From approximately January 2005 until March 2007, the Defendants spearheaded a sophisticated scheme to defraud the banks and their depositors by secretly using relatives as nominees to acquire stock in those conversions in contravention of the offering terms and applicable banking regulations. [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the… [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the… [read post]
16 Feb 2015, 6:00 am
Securities and Exchange Commission. [read post]
25 Nov 2014, 6:19 am
Securities and Exchange Commission. [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]
19 Aug 2013, 6:28 am
The Securities and Exchange Commission wants it to be better. [read post]
11 May 2015, 9:03 am
According to Securities and Exchange Commission (SEC) court filings, brokers Jeffrey Gainer, Jerry Cicolani, Jr. and Kelly Hood were terminated from their employer PrimeSolutions Securities, Inc., a Cleveland, Ohio broker-dealer, as a result of marketing and recommending investments in KGTA Petroleum, Ltd. [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]
3 Sep 2015, 5:33 am
Last week, the Securities and Exchange Commission announced that effective October 1, 2015, filing fees that public companies and other issuers pay to register their securities with the Commission will be reduced to $100.70 per million dollars (from $116.20 per million dollars). [read post]
3 Sep 2015, 7:51 am
On September 2, the Municipal Securities Rulemaking Board (MSRB) requested approval from the Securities and Exchange Commission (SEC) for amendments to MSRB Rule G-20, a conflict-of-interest rule concerning gifts and gratuities. [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]
15 Jul 2011, 11:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors. [read post]
15 Jul 2011, 10:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors.The commission made its comments in a letter to Senator Jay Rockefeller, chairman of the Senate Commerce Committee, that was released on June 8, 2011. [read post]
15 Jul 2011, 11:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors. [read post]
1 Mar 2022, 3:15 am
Also on Friday, the Commission issued this 4-page release to reopen the comment period on proposed Exchange Act Rule 10c-1. [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]
16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
24 Oct 2023, 1:17 pm
The Securities and Exchange Commission today charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
