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18 Mar 2020, 5:45 am
On March 4, 2020, the Securities and Exchange Commission (the “Commission”) proposed amendments to the private offering exemptive framework under the Securities Act of 1933, as amended (the “Securities Act”) to “simplify, harmonize, and improve certain aspects of the framework” with the goal of promoting capital formation while maintaining investor protections. [read post]
12 Dec 2024, 11:20 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Congress and the Commission. [read post]
11 Jun 2025, 3:25 pm
The Securities and Exchange Commission, together with the U.S. [read post]
4 Apr 2012, 7:19 am
The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. [read post]
30 Jul 2010, 12:48 pm
Securities and Exchange Commission (SEC) published a request for public comment for a study to evaluate the effectiveness of existing legal or regulatory standards of care for brokers, dealers, investment advisers, and persons associated with them when providing personalized investment advice and recommendations about securities to retail investors; and whether there are gaps, shortcomings, or overlaps in legal or regulatory standards in the protection of… [read post]
4 Nov 2010, 12:03 pm
Securities and Exchange Commission released interpretive guidance on existing SEC disclosure requirements for reporting companies relating to the issue of climate change (see our previous bulletin regarding same). [read post]
23 Nov 2020, 8:42 am
Retail Investors Were Allegedly Told To Hold Exchange-Traded Products for Too Long In separate settlements reached with the US Securities and Exchange Commission (SEC), Royal Alliance Associates, Securities America Advisors, Summit Financial Group, Benjamin F. [read post]
7 Jun 2023, 11:44 am
WASHINGTON—The Securities and Exchange Commission sued Coinbase COIN 2.81%increase; green up pointing triangle on Tuesday, a back-to-back punch by regulators trying to rein in the crypto industry.The SEC alleged that Coinbase, the largest crypto exchange in the U.S., violated rules that require it to register as an exchange and be overseen by the federal agency. [read post]
28 Oct 2011, 3:07 pm
The Financial Industry Regulatory Authority (FINRA) does, according to the Securities and Exchange Commission. [read post]
4 Nov 2010, 10:40 am
Securities and Exchange Commission regarding asset-backed-securities. [read post]
7 Nov 2022, 2:30 am
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
27 Mar 2019, 11:26 am
SEC (Art Lien) Although the case affects several related provisions of the securities laws, its principal application is Rule 10b-5 of the Securities and Exchange Commission. [read post]
24 Mar 2007, 2:16 am
The Securities and Exchange Commission censured the American Stock Exchange for failing to enforce compliance with securities laws and rules and failing to comply with its record-keeping obligations. [read post]
15 Oct 2009, 8:37 am
Additionally, the legislation lays out a parallel track regulatory framework with joint rulemaking authority residing in the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC). [read post]
16 Jul 2024, 9:01 pm
In Securities and Exchange Commission v. [read post]
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
17 Jun 2023, 7:02 pm
AP Securities and Exchange Commission Chair Gary Gensler’s regulation of crypto is an uneven mess; digital-coin exchanges get approved by the commission to go public, only to be sanctioned later for selling crypto [...] [read post]
