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23 Nov 2011, 6:23 am
The Department of Justice and the Securities and Exchange Commission recently announced their commitment to investigate and prosecute pharmaceutical and medical device companies that pay bribes to government physicians and hospital administrators in foreign countries to secure business. [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]
30 Aug 2012, 6:19 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]
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]
23 Jul 2020, 6:06 am
Securities and Exchange Commission. [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]
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]
9 Jul 2011, 6:45 am
Securities and Exchange Commission. [read post]
7 Sep 2017, 7:29 am
Securities and Exchange Commission (SEC). [read post]
7 Sep 2017, 7:29 am
Securities and Exchange Commission (SEC). [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]
18 Dec 2007, 4:53 am
According to BusinessWeek, the Securities & Exchange Commission and the U.S. [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]
28 Dec 2010, 10:11 am
The New York Times' Dealbook says though it's not clear exactly what they're worried about, the Securities and Exchange Commission is looking into the growing tide of exchanges set-up to trade shares in private companies that include Facebook, Twitter and LinkedIn. [read post]
18 Dec 2023, 8:53 am
The draft legislation follows a final report that the European Securities and Markets Authority published in December 2022. [read post]
24 Jul 2024, 1:07 pm
Securities and Exchange Commission has issued Boston based Allarity Therapeuticswith a Wells Notice over alleged violations of federal securities law, the Boston-based biotech announced in a business update on Monday. [read post]
21 Nov 2019, 6:27 am
Securities and Exchange Commission, [1] a case that challenges the SEC’s long-held position that it has authority to seek disgorgement for securities laws violations as a form of equitable relief. [read post]
5 Nov 2019, 1:45 pm
Securities and Exchange Commission. [read post]
