Search for: "In Re Securities and Exchange Commission"
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15 Aug 2014, 5:00 am
Securities and Exchange Commission and faking documents to disguise how his firm did not have enough capital. [read post]
15 Aug 2014, 5:00 am
The Plaintiffs next argue that the Arbitration Bylaw is “contrary to the SEC’s policies underlying federal securities laws,” particularly the anti-waiver provision of Section 29(a) of the Securities Exchange Act, and “frustrates shareholders’ statutory rights to attorneys’ fees and expenses pursuant to the Private Securities Litigation Reform Act of 1995 [], 15 U.S.C. [read post]
3 Aug 2014, 12:29 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
28 Jul 2014, 5:00 am
The exchanges are doubtful about the “maker/taker” system that has become dominant in the wake of Regulation NMS, and the Securities Industry and Financial Markets Association (“SIFMA”), the industry trade group, wants major reforms. [read post]
24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
18 Jul 2014, 12:59 pm
This paper will examine how and why many of the recommendations are not applicable to cases of a different degree than those the commissions addressed. [read post]
18 Jul 2014, 12:59 pm
This paper will examine how and why many of the recommendations are not applicable to cases of a different degree than those the commissions addressed. [read post]
15 Jul 2014, 10:35 am
Neither of these options is available to fill leadership positions in new agencies or within independent agencies and commissions, like (among others) the National Labor Relations Board, the Federal Election Commission, or the Securities and Exchange Commission. [read post]
14 Jul 2014, 2:43 pm
Private equity firms were put on notice last year that they may be subject to registration as broker dealers when David Blass, head of the Division of Markets and Trading at the Securities and Exchange Commission (“SEC”), provided his insights at an industry conference. [read post]
11 Jul 2014, 3:59 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
8 Jul 2014, 9:00 am
By Matthew Hafter With the Securities and Exchange Commission’s attention again returning to cybersecurity issues, many registrants are recalling the Commission’s intense focus on “Year 2000” issues over a decade ago. [read post]
27 Jun 2014, 6:19 am
Charges over ‘Pay-to-Play’ New York Times – William Alden | Published: 6/20/2014 TL Ventures agreed to pay almost $300,000 to settle charges it violated the Securities and Exchange Commission’s “pay-to-play” rules. [read post]
26 Jun 2014, 7:40 am
You’re not likely to have the document for a real estate investment. [read post]
17 Jun 2014, 11:19 pm
In Compliance Week, Joe Mont reported that the Securities and Exchange Commission (SEC) brought its first enforcement action for a company’s retaliation against a whistleblower. [read post]
17 Jun 2014, 9:26 am
The Securities and Exchange Commission announced its first settlement of a Whistleblower Retaliation case under the new anti-retaliation authority granted by the 2010 financial overhaul law. [read post]
12 Jun 2014, 2:45 pm
Also, the attraction of a bureaucratic career lies in its life-long security, and nothing says “security” like a guaranteed annual sum of compensation. [read post]
10 Jun 2014, 5:00 am
See In re North East Capital, Exchange Act Release No. [read post]
2 Jun 2014, 5:00 am
On May 29th the Securities and Exchange Commission petitioned the U.S. [read post]
31 May 2014, 6:00 am
Although US Securities and Exchange Commission (SEC) enforcement actions related to financial fraud and issuer disclosures have been on a decline since 2007, recent statements and actions suggest that the SEC is likely to re-focus its efforts on detecting, pursuing, and preventing accounting fraud. [1] Since her confirmation as Chair of the SEC, Mary Jo White has made it clear that her administration will focus on identifying and investigating accounting abuses at… [read post]
22 May 2014, 4:45 pm
EPIC – “In a letter to the Securities and Exchange Commission, Google announced plans to place targeted ads on Google-controlled appliances. [read post]
