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11 Jan 2011, 10:27 am
” Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASD’s Interpretation of Its Suitability Rule). [read post]
11 Jan 2011, 10:27 am
FINRA has stated that andldquo;defining the term andlsquo;recommendationandrsquo; is unnecessary and would raise many complex issues in the absence of specific facts of a particular case.andrdquo; Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASDandrsquo;s Interpretation of Its Suitability Rule). andnbsp; Strategies andnbsp; The new rule… [read post]
10 Apr 2017, 3:09 pm
Securities and Exchange Commission (SEC) denied proposals to list and trade shares of two bitcoin trust exchanges: one denial issued on March 10 and the other on March 28, 2017. [read post]
10 May 2011, 5:18 am
Public companies and companies registering to go public should be aware of an upcoming fee rate adjustment to filing fees with the Securities and Exchange Commission. [read post]
29 Dec 2010, 10:09 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
7 Feb 2018, 5:00 am
To avoid potential market disruption stemming from the application of certain Exchange Act provisions and rules to security-based swap activities, the SEC stated it was in the public interest to further extend the Unlinked Temporary Exemptions for another year. [read post]
6 Jun 2023, 4:26 pm
The Securities and Exchange Commission today filed an emergency action application seeking a temporary restraining order freezing assets, directing defendants to repatriate assets held for the benefit of customers of the Binance.US crypto trading…Read the Full Press Release Have a securities law question? [read post]
11 Mar 2017, 10:31 am
The Securities and Exchange Commission (SEC) [official website] on Friday announced its decision to reject an application [text] to create an exchange-traded fund (ETF) [investopedia backgrounder] tied to the value of Bitcoin [website], a virtually currency. [read post]
11 Sep 2018, 1:33 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
15 Mar 2017, 4:26 am
The US Securities and Exchange Commission (SEC) handed a blow to the cryptocurrency when it denied an application by the Winklevoss twins (of Social Network fame) to create an exchange-traded fund (ETF) based on Bitcoin called the Bats BZX Exchange. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
2 Aug 2015, 5:39 am
Court of Appeals for the District of Columbia Circuit (the “DC Circuit”) held that the Securities and Exchange Commission (the “SEC” or “Commission”) could not employ certain remedial provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank” or the “Act”) to retroactively punish an investment adviser for conduct that occurred prior to enactment of the Act. [read post]
4 Apr 2011, 10:37 am
The Hong Kong Securities and Futures Commission is determined to continue its robust regulation of hedge funds by participating with IOSCO in setting internal standards and good practice for the hedge fund industry and performing joint inspections with the SEC on some dual-registered hedge fund managers who are both licensed in Hong Kong and registered with the SEC, said SFC Chief Executive Officer Martin Wheatley . [read post]
27 Oct 2009, 1:41 pm
In response to numerous inquiries, the Ontario Securities Commission (OSC) issued a notice today outlining the OSC Staff's view on the applicability of securities laws to offerings of Contracts for Difference (CFDs), foreign exchange contracts (FX contracts) and similar OTC derivative products. [read post]
30 Sep 2012, 8:17 pm
According to Attorney Daniel Duchovny, who is the special counsel to the Securities and Exchange Commission Corporation Finance Division's Office of Mergers and Acquisitions, a two-track merger and acquisition structure known as the Burger King structure could cause certain 1934 Securities Exchange Act provisions to be triggered. [read post]
22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
