Search for: "Securities and Exchange Commission"
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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]
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]
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]
19 Aug 2008, 10:33 pm
News release: "Securities and Exchange Commission Chairman Christopher Cox today unveiled the successor to the agency â [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]
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]
4 Aug 2016, 1:42 pm
Today, the Municipal Securities Rulemaking Board (MSRB) filed an amendment with the Securities and Exchange Commission (SEC) clarifying the two-year look-back ban on contributions from municipal advisors in the upcoming amendments to MSRB Rule G-37. [read post]
24 Feb 2021, 6:01 am
Securities and Exchange Commission. [read post]
1 Jul 2011, 8:57 am
A U.S. district court judge granted Morgan Keegan’s motion for summary judgment, dismissing the Securities and Exchange Commission allegations that the brokerage firm misled investors in connection with its sales of $2.2 billion in auction-rate securities, according to an InvestmentNews article entitled “SEC claim that Morgan Keegan misled ARS investors is nixed,” and David Benoit’s and Suzanne Barlyn’s Wall Street Journal article… [read post]
31 May 2007, 8:07 pm
Securities and Exchange Commission (SEC), expressing his concern with the SEC's Office of Global Security Risk (OGSR). [read post]
10 Mar 2013, 7:35 am
Securities and Exchange Commission. [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Friday, March 16, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, SEC, Securities regulation, Transparency Proposed Amendments to Public Reporting of Fund Liquidity Information Posted by Hester M. [read post]
28 Jan 2010, 9:22 am
Nothing that the Commission does today should be construed as weighing in on those topics. [read post]
21 Apr 2015, 12:56 pm
The Securities and Exchange Commission (SEC) announced on April 16, 2015 that it filed a complaint in the United States District Court for the Southern District of New York alleging that Michael J. [read post]
5 Nov 2019, 6:12 am
Securities and Exchange Commission (SEC) challenging interpretation and guidance put forth by the Commission in August that applies the proxy solicitation rules to the provision of proxy advice. [read post]
13 Oct 2018, 7:22 am
Securities and Exchange Commission. [read post]
20 Jul 2011, 1:26 pm
The Virginia State Corporation Commission (Securities and Retail Franchising Division) yesterday adopted a policy statement providing guidance to advisers to private funds in light of the June 22, 2011 adoption of final rules adopted by the Securities and Exchange Commission. [read post]
31 Oct 2012, 5:42 am
Securities and Exchange Commission. [read post]
26 Feb 2008, 5:20 am
In connection with its continuing investigation of Hinsdale, Illinois-based adviser Robert Loffredi, SNSFE reports that on February 22, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings against Robert Loffredi. [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
