Search for: "In Re Securities and Exchange Commission" Results 181 - 200 of 2,423
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22 May 2012, 11:03 am by Jenna Greene
Senate Banking Committee today in a hearing featuring the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
24 Aug 2010, 11:09 am by Marshall Bender
A recent ruling of the Securities and Exchange Commission (“SEC”) should serve as a yet another reminder of the importance of adequately preserving electronically stored data. [read post]
26 Apr 2017, 3:15 am by Liz Dunshee
That question is generating a lot of discussion early in the Trump administration as U.S. policy makers consider ways to streamline the federal bureaucracy by potentially merging the Commodity Futures Trading Commission into the Securities and Exchange Commission. [read post]
17 Nov 2011, 5:27 am
The Securities and Exchange Commission (SEC) has begun scrutinizing registration documents submitted by investment advisers to uncover misrepresentations they have made regarding their education, assets under management and other aspects of their firm. [read post]
30 Sep 2022, 7:37 am by Silver Law Group
Securities and Exchange Commission regulators about security vulnerabilities on its platform. [read post]
6 Dec 2011, 6:00 pm by Steve Bainbridge
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
28 Feb 2023, 6:06 am by Dan Bressler
“Big Law Firms Back Covington in SEC Fight Over Client Data” — “A total of 83 US law firms are backing Covington & Burling in its fight with the Securities and Exchange Commission over client data. [read post]
23 May 2018, 8:11 am by Ben Kostyack
The Securities and Exchange Commission building, located in Washington, D.C.Members of Congress are urging the Securities Exchange Commission (SEC) to investigate the illegal trafficking of wildlife on Facebook. [read post]
23 Mar 2023, 9:30 pm by Liz Dunshee
The Commission has taken issue not just with sales for cash, but also “giveaways. [read post]
6 Apr 2010, 1:59 pm by Alain Leibman
There are a variety of circumstances under which investors may provide sensitive tax-related information to the Securities and Exchange Commission; they may be victims of securities fraud eager to assist the SEC in recovering lost monies or, under the SEC's newly-developed policy of encouraging and rewarding cooperation -- previously reported here -- they may be low-level participants in the fraud anxious to prove their bona fides. [read post]
16 Oct 2023, 3:30 am by John Jenkins
  This excerpt from the fact sheet explains why this new rule matters: Section 13(f)(2) of the Securities Exchange Act of 1934 (“Exchange Act”), added under Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires the Commission to prescribe rules to make certain short sale related data publicly available. [read post]
7 Nov 2022, 12:15 am
The Securities and Exchange Commission new "clawback" rules were approved on a divided vote. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [read post]
21 Jun 2012, 2:01 pm
Members of the Securities and Exchange Commission’s Investor Advisory Committee are cautioning that it is imperative that the SEC not ignore its rulemaking obligations that it was tasked under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act even as it seeks to implement the new capital formation statute. [read post]
11 Sep 2008, 9:38 pm
These provisions respectively will allow the Commission to allocate its funds more efficiently and prevent bad actors from re-entering other parts of the industry. [read post]
11 Jun 2024, 9:01 pm by renholding
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
24 Feb 2012, 11:10 am by Jenna Greene
Securities and Exchange Commission chief litigation counsel Matthew Martens defended the agency's prowess in court - as well as its willingness to enter into what he termed "appropriate" settlements. [read post]
8 Sep 2022, 9:01 pm by Gary Gensler
The following year, they passed the Securities Exchange Act of 1934. [read post]
9 Nov 2021, 8:33 am by Doug Cornelius
On December 22, 2020, the Securities and Exchange Commission adopted the new Marketing Rule (amended Rule 206(4)-1) under the Investment Advisers Act that will replace both the current advertising and cash solicitation rules and will govern investment adviser marketing. [read post]
1 Feb 2011, 1:36 pm by Justin McLachlan
The Securities and Exchange Commission has charged eight people with fraud in a global, $33-million pump-and-dump scheme involving Chinese companies that went public in the U.S. through reverse mergers.The defendants include Francis A. [read post]