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16 Dec 2024, 9:03 pm
True, there are instances in which the broker under scrutiny might also be also under investigation by the US Securities and Exchange Commission (SEC) over the same or similar allegations of wrongdoing. [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]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [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]
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]
21 Jul 2020, 10:43 am
On June 22, 2020, Assistant Attorney General Makan Delrahim, head of the Antitrust Division at the Department of Justice, and Jay Clayton, Chairman of the Securities and Exchange Commission, signed a Memorandum of Understanding (“MOU”) concerning “Cooperation with Respect to Promoting Competitive Conditions in the Securities Industry. [read post]
19 Dec 2018, 6:01 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [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]
25 Feb 2015, 6:02 am
Securities and Exchange Commission. [read post]
5 Nov 2021, 5:49 am
Securities and Exchange Commission. [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]
15 Dec 2021, 8:40 am
The Securities and Exchange Commission today proposed amendments to its rules regarding disclosure about an issuer’s repurchases of its equity securities, often referred to as buybacks. [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]
20 Dec 2021, 8:21 am
The Securities and Exchange Commission today announced charges against Daniel V.T. [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]
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]
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]
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]
14 Aug 2009, 12:26 pm
The Ontario Securities Commission has approved amendments to TSX Rule 4-403 of the Toronto Stock Exchange Rule Book and Policies. [read post]
