Search for: "Securities and Exchange Commission"
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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, 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]
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]
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
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]
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]
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]
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]
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]
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]
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]
3 Mar 2017, 8:01 am
The Securities and Exchange Commission [official website] complaint alleged that Paxton, among other things, actively recruited investors for Servergy Inc., a computer hardware company, in exchange for an undisclosed payment of 100,000 shares of common stock in the company and a 10 percent commission... [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]
10 Mar 2013, 7:35 am
Securities and Exchange Commission. [read post]
17 Feb 2022, 2:51 pm
Securities and Exchange Commission (SEC) recently issued proposed amendments to the Securities Exchange Act [1] (the “Exchange Act”) that would significantly broaden the definition of “exchange” for purposes of regulation under the Exchange Act (“Proposed Rule”).[2] Designed to address a “regulatory gap,”[3] the Proposed Rule would cover “platforms for all kinds of… [read post]
1 Jul 2011, 9:06 am
Raymond James Financial has agreed to buy back $300 million in auction-rate securities from clients and pay a fine of $1.7 million as part of a settlement the Securities and Exchange Commission and the states of Florida, Texas, Indiana, Missouri, New York, North Carolina, Pennsylvania and South Carolina, according to Bruce Kelly’s InvestmentNews article entitled “Raymond James to pony up $300M to buy back ARS. [read post]
11 Jul 2022, 3:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6551/securities-industry-commentator/GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq (BrokeAndBroker.com Blog)5Cir Sustains SEC's No-Deny Precondition for SettlementsSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
4 Oct 2015, 3:52 pm
“On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive release to clarify its reading of the whistleblower rules it promulgated in 2011 under Section 21F of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [read post]
4 Nov 2010, 10:40 am
Securities and Exchange Commission regarding asset-backed-securities. [read post]
