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5 Nov 2021, 5:49 am
Securities and Exchange Commission. [read post]
9 Jun 2010, 7:15 am
The Securities and Exchange Commission announced June 4 that within a week, its staff expects to present recommendations on a proposal by… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
8 Jul 2009, 1:49 pm
According to an article in the May/June issue of The Pomerantz Monitor, it has long been recognized that private enforcement is a necessary supplement to the enforcement capabilities of the Securities and Exchange Commission ("SEC"). [read post]
30 Jul 2024, 12:04 pm
The Securities and Exchange Commission charged Nader Al-Naji with perpetrating a multi-million-dollar fraudulent crypto asset scheme involving a social media platform called BitClout and its native token of the same name (herein, “BTCLT”). [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]
5 Mar 2013, 8:54 am
Securities Exchange Commission (Feb. 27, 2013) rejects an attempt by the Securities and Exchange Commission to extend a statute of limitations by invoking a “discovery rule. [read post]
22 Jul 2011, 11:17 am
On July 11, 2011, the Securities and Exchange Commission ("SEC") brought and settled charges that Janney Montgomery Scott ("Janney"), a dually-registered broker dealer and investment advisor, failed to establish and enforce policies and procedures, as required by the Securities and Exchange Act of 1934, to protect material nonpublic information from misuse. [read post]
30 May 2018, 7:00 am
In this alert, we chronicled developments at the Securities and Exchange Commission, Commodity Futures Trading Commission, state securities regulators and others. [read post]
10 Nov 2021, 10:15 am
The Securities and Exchange Commission today announced awards of more than $12.5 million and $2.5 million to two whistleblowers whose information and assistance led to a successful SEC enforcement action. [read post]
21 Mar 2005, 3:09 am
[JURIST] The US Securities and Exchange Commission has announced that communications and media giant Time Warner [corporate website] has agreed to pay $300 million to settle charges alleging that it overstated online advertising revenue and the number of its AOL Internet subscribers and committed other securities frauds. [read post]
3 Nov 2006, 8:22 am
The Securities and Exchange Commission, already facing an examination of its efforts to police the nation’s securities markets, said Thursday that it brought 9 percent fewer enforcement cases last year. [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]
23 Jul 2020, 6:06 am
Securities and Exchange Commission and a nominee for Commissioner. [read post]
11 Jun 2015, 1:20 pm
Securities and Exchange Commission. [read post]
8 Mar 2022, 8:40 am
The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2021, 8:21 am
The Securities and Exchange Commission today announced charges against Daniel V.T. [read post]
2 Dec 2021, 7:35 am
The Securities and Exchange Commission today charged a Latvian citizen with defrauding hundreds of retail investors out of at least $7 million through two separate fraudulent digital asset securities offerings. [read post]
26 Jan 2022, 8:40 am
The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. [read post]
19 Jan 2022, 8:15 am
The Securities and Exchange Commission is seeking candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. [read post]
24 Jan 2022, 2:45 pm
The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. [read post]
