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SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
23 Oct 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Record $114 Million Whistleblower Award
22 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
22 Oct 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Goldman Sachs With FCPA Violations
22 Oct 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28
22 Oct 2020, 7:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
21 Oct 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Updates Auditor Independence Rules
16 Oct 2020, 10:10 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
16 Oct 2020, 7:10 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and CFTC to Hold a Joint Open Meeting on October 22
15 Oct 2020, 4:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
15 Oct 2020, 3:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
15 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality
15 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards $800,000 to Whistleblower
15 Oct 2020, 8:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program
13 Oct 2020, 4:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program
13 Oct 2020, 3:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud
8 Oct 2020, 4:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships
7 Oct 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually
7 Oct 2020, 11:12 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
7 Oct 2020, 9:13 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Updates Regulatory Framework for Fund of Funds Arrangements
7 Oct 2020, 6:12 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/