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30 Aug 2012, 6:19 am
Securities and Exchange Commission. [read post]
10 Sep 2013, 9:31 am
Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange Act of 1934] reaches the use of a manipulative or deceptive device or contrivance only in connection with the purchase or sale of a security listed on an American stock exchange, and the purchase or sale of any other security in the United States. [read post]
15 Jan 2015, 12:26 pm
By: Mark Tarallo The Securities and Exchange Commission (“SEC”) is charged with enforcing the accounting provisions of the Foreign Corrupt Practices Act (“FCPA”). [read post]
8 Sep 2006, 8:08 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] said Thursday that its Division of Corporation Finance [official website] will begin drafting an amendment [press release] to an SEC Rule under the Securities Exchange Act of 1934 [text, PDF] which says a company can deny its shareholders the right to vote on a proposal that "relates to an election," [read post]
28 Oct 2009, 6:11 am
The Investor Protection Act [HR 3817 text, PDF], sponsored by Paul Kanjorski (D-PA) [official website], modifies the Securities Exchange Act of 1934 [text, PDF], giving the Securities and Exchange Commission (SEC) [official website] the [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
21 Apr 2025, 12:15 am
After taking a hard line that many of these assets were securities under the federal securities laws, the Securities and Exchange Commission with the change of Administration now appears to be taking a less hostile approach. [read post]
10 Jan 2024, 9:02 pm
Yesterday afternoon, the Commission approved a series of rule changes that will allow for the listing and trading of the 11 bitcoin ETFs that were the subject of applications by national securities exchanges — specifically, NYSE Arca, Nasdaq, and Cboe BZX Exchange. [read post]
25 Mar 2011, 1:05 am
The China Insurance Regulatory Commission (CIRC) has revealed that Shanghai has applied to the central government for approval to establish an insurance exchange, as part of Shanghai's drive to become a major international financial hub by 2020. [read post]
9 Jul 2011, 6:45 am
Securities and Exchange Commission. [read post]
18 Dec 2007, 4:53 am
According to BusinessWeek, the Securities & Exchange Commission and the U.S. [read post]
23 Jul 2020, 6:06 am
Securities and Exchange Commission. [read post]
9 Jun 2020, 6:22 am
As noted in our earlier alert concerning securities enforcement actions, as COVID-19 spread swiftly across the United States in the early months of 2020, the Securities and Exchange Commission (SEC) began issuing warnings about potential pandemic-related disclosures, fraud and disruptions to the financial markets. [1] On January 30, 2020, SEC Chairman Jay Clayton announced that the SEC staff would monitor and, to the extent necessary, provide guidance regarding… [read post]
FORMER PORTFOLIO MANAGER AT HEDGE FUND INVESTMENT ADVISOR DIAMONDBACK CAPITAL MANAGEMENT SUED BY SEC
1 Sep 2011, 5:55 am
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
27 Apr 2012, 2:45 pm
The SEC has posted the 644 page text of a rulemaking release adding Exchange Act definitions of key terms for security-based swaps. [read post]
2 Apr 2010, 6:04 pm
Related Web Resources: Commission Obtains Asset Freeze and Appointment of a Receiver in Alleged $3.5 Million Life Settlement Fraud, SEC.gov, March 22, 2010 Securities and Exchange Commission (PDF) [read post]
8 Oct 2010, 3:19 pm
Gawker: Larry Wilcox — better known as Ponch's sidekick Jon from the 70's-80's cop show CHiPs — was caught in a sting operation by FBI agents and the Securities and Exchange Commission allegedly seeking kickbacks in exchange for penny-stock manipulation. [read post]
1 Aug 2017, 5:53 pm
On July 25, 2017, the US Securities and Exchange Commission (“SEC”) issued an investigative report stating that US securities laws apply to sales of securities in the United States purchased with virtual currencies or distributed with blockchain technology. [read post]
16 Dec 2011, 4:05 pm
The Securities and Exchange Commission has charged six ex-executives of the Federal Home Loan Mortgage Corporation (Freddie Mac) and the Federal National Mortgage Association (Fannie Mae) with securities fraud. [read post]
13 Oct 2018, 7:21 am
Securities and Exchange Commission. [read post]
