Search for: "Securities and Exchange Commission"
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4 Jul 2023, 9:05 pm
The Securities and Exchange Commission’s recent actions against Binance and Coinbase show that the commission is worried about the business model of crypto-trading platforms. [read post]
22 Aug 2008, 4:25 am
"On July 29, 2008, the United States Securities and Exchange Commission filed a civil injunctive action in United States District Court for the Southern District of Texas, Houston Division, alleging that six individuals, including a Houston, Texas attorney and a Las Vegas, Nevada attorney, violated various provisions of the federal securities laws in their unregistered, nonexempt distribution of more than 10.8 million shares of the common stock of a Houston,… [read post]
9 May 2010, 5:52 am
Bondi, Securities and Exchange Commission (SEC); Georgetown University Law Center; George Mason University - School of Law,... [read post]
5 Jul 2019, 2:12 pm
on SSRN with the following abstract: Since 1970, the Securities & Exchange Commission (SEC) has required public companies to file disclosures reporting their quarterly financial performance. [read post]
17 Jan 2019, 1:56 pm
The following law review article relating to securities regulation is now available in paper format: Juliana Debler, Note, Foreign Initial Coin Offering Issuers Beware: The Securities and Exchange Commission Is Watching, 51 Cornell Int'l L.J. 245 (2018). [read post]
5 Aug 2015, 1:49 pm
The press release states in part: The Securities and Exchange Commission today adopted new rules to provide a comprehensive, efficient process for security-based swap dealers and major security-based swap participants to register with the SEC. [read post]
22 Jul 2012, 4:58 pm
Background The Appellants, Scott and Brian Lines (the “Lines”), became the subjects of a complaint filed by the United States Security Exchange Commission (“SEC”) for alleged infractions of U.S. securities laws. [read post]
26 Nov 2010, 12:51 pm
According to the press release: The Securities and Exchange Commission announced today that it will hold its second field hearing to examine... [read post]
8 Jan 2015, 8:30 am
By: Mark Tarallo On December 17, 2014, the United States Securities and Exchange Commission (“SEC) issued proposed amendments to the existing rules adopted under Section 12 (g) of the Exchange Act to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were adopted as part of the JOBS Act. [read post]
17 Jul 2007, 4:04 am
Razi-ur-Rahman Khan, chairman of the Securities & Exchange Commission of Pakistan, told Bloomberg News that he had received interest from “a number of regional, even [...] [read post]
29 Jul 2005, 6:54 pm
[JURIST] Leading Friday's corporations and securities law news, the UK's Competition Commission [official website] has concluded that takeover bids from Euronext [corporate website] and Deutsche Boerse [corporate website] for the London Stock Exchange (LSE) [corporate website] would negatively affect competition. [read post]
20 Jan 2011, 9:33 am
The Securities and Exchange Commission approved new regulations aimed at curbing the risks of asset-backed securities and bringing more clarity to the still struggling market. [read post]
20 Jul 2010, 8:50 am
The Securities and Exchange Commission has handed down the largest fine against a Wall Street firm in the history of the SEC. [read post]
7 Sep 2023, 5:55 am
Circuit Court found that the SEC exceeded its statutory authority when it ordered the national securities exchanges and FINRA to come up with a consolidated plan for market data that included non-SRO representatives.The exchanges lost their other two arguments for why the consolidated plan was invalid, but the D.C. [read post]
20 Oct 2011, 6:57 am
Exchange-traded funds (ETFs) are the latest investment product to find themselves in the hot seat with the Securities and Exchange Commission (SEC). [read post]
15 Mar 2023, 11:37 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
24 Oct 2017, 12:00 am
In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about emerging ponzi schemes utilizing virtual currencies such as Bitcoin to raise money from unsuspecting investors. [read post]
25 Oct 2024, 12:41 pm
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
14 Mar 2021, 1:00 am
Rev. (2021): Each year, state securities regulators bring over twice the enforcement actions brought by the Securities and Exchange Commission, yet their work is largely missing from the... [read post]
31 Aug 2014, 12:37 pm
The press release in part states the following: The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities (ABS) to enhance transparency,... [read post]
