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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]
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]
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]
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]
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]
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]
24 Mar 2010, 8:55 pm
Charles Schwab Corp. doesn’t want the Securities and Exchange Commission to file securities claims over the YieldPlus mutual fund. [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]
6 Nov 2009, 8:43 am
As described in our earlier post, on October 9, the Ontario Securities Commission (OSC) introduced a new process for reviewing changes to certain operations of exchanges and ATSs. [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]
25 Aug 2011, 2:23 pm
" Sources: SEC's new Whistleblower Program Takes Effect Today, Securities and Exchange Commission, August 12, 2011 [read post]
17 Sep 2009, 10:18 am
Securities and Exchange Commission (SEC) announced the creation of its new Division of Risk, Strategy, and Financial Innovation, which combines the Office of Economic Analysis, the Office of Risk Assessment and certain other functions. [read post]
7 Apr 2011, 6:00 am
Securities and Exchange Commission (SEC) approved a revised Discovery Guide applicable to FINRA securities arbitration customer cases on Friday. [read post]
14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
10 Nov 2010, 11:14 am
The co-chairmen of President Barack Obama’s debt-reduction commission will propose cuts to Social Security and Medicare, as well as reductions in income tax rates in exchange for curbing tax breaks, according to a Republican aide who attended the meeting. ... [read post]
23 Sep 2009, 7:01 am
Regions Bank has agreed to pay a $1 million penalty to settle a Securities and Exchange Commission complaint that it played a role in a long-term investment fraud that charged huge hidden fees and sales commissions to thousands of unwitting Latin American investors. [read post]
27 Mar 2019, 6:39 am
On February 19, 2019, the Securities and Exchange Commission (SEC) approved a proposed rule that, if enacted, would permit all issuers to use “test-the-waters” communications (TTW communications). [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
15 Aug 2012, 9:57 pm
Penneco Drilling Associates is, according to its Form D filing with the Securities and Exchange Commission, an oil and gas development company. [read post]
16 Sep 2011, 8:18 am
The SEC is seeking the remedies of civil money penalties pursuant to Section 20(d) of the Securities Act and 21(d)(3) of Exchange Act, as well as disgorgement of any ill-gotten gains. [read post]
