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26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), that include, among other things, changes to Rule 10b5-1(c)(1)’s affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5 under the Exchange Act. [read post]
16 Jun 2009, 5:18 pm
Several years after being warned that Bernie Madoff was running a Ponzi Scheme; and several months after people lost billions of dollars; the SEC has finally taken action: WASHINGTON (AP) -- Disgraced money manager Bernard Madoff has been prohibited from working in the securities industry under a settlement with the Securities and Exchange Commission.How Madoff was going to work in the securities industry from prison... [read post]
1 Nov 2021, 6:29 am
Securities and Exchange Commission. [read post]
Protecting Main Street Investors: Regulation Best Interest and the Investment Adviser Fiduciary Duty
9 Jul 2019, 9:05 am
Securities and Exchange Commission. [read post]
14 Aug 2018, 1:32 pm
Earlier this year, the US Securities and Exchange Commission barred ex-RBC broker Thomas Buck from the industry. [read post]
16 Jun 2023, 8:58 am
In December 2022, the social media world was stunned to learn that federal prosecutors and the Securities and Exchange Commission (SEC) were filing civil and criminal charges against eight social media influencers. [read post]
6 Sep 2011, 6:00 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
5 Oct 2009, 2:09 pm
The Securities and Exchange Commission (SEC) today announced its approval of new exchange rules (see, for example, filings respecting NYSE Arca, NASDAQ and the Chicago Board Options Exchange) for "breaking stock trades that deviate so substantially from current market prices that they are considered 'clearly erroneous.'" Specifically, the rules seek to provide consistent standards across… [read post]
16 Feb 2021, 1:22 pm
In January 2021, the Securities and Exchange Commission (SEC) filed a complaint against Eric C. [read post]
22 Jun 2012, 2:00 am
On Wednesday, the Securities and Exchange Commission adopted a rule requiring the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with the compensation committee and compensation adviser requirements in Section 10C of the Securities Exchange Act of 1934. [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
13 Mar 2013, 2:46 pm
Today, the Solicitor General filed a motion asking the Supreme Court to dismiss the Securities and Exchange Commission’s petition for a writ of certiorari in SEC v. [read post]
27 Jul 2010, 9:39 am
The Discovery Guide directs parties to exchange certain documents, and provides FINRA arbitrators with guidance in resolving discovery disputes in arbitration. [read post]
14 Jul 2018, 7:11 am
In contrast, the American development of securities law is driven by the federal Securities and Exchange Commission (SEC), with state regulators taking a secondary role. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
7 Jun 2025, 6:30 am
Securities and Exchange Commission. [read post]
7 Jun 2025, 6:30 am
Securities and Exchange Commission. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
