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Walmart Charged With FCPA Violations
20 Jun 2019, 10:30 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Freezes Assets in International Manipulative Trading Scheme
20 Jun 2019, 8:35 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Chairman Clayton Announces Events for Main Street Investors in Boston
19 Jun 2019, 3:43 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
18 Jun 2019, 10:43 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
18 Jun 2019, 10:13 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
18 Jun 2019, 9:09 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
17 Jun 2019, 12:23 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
17 Jun 2019, 7:51 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
14 Jun 2019, 9:16 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces 2019 Government-Business Forum to Be Held in Omaha
12 Jun 2019, 10:32 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
10 Jun 2019, 11:42 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
David Peavler Named Director of Fort Worth Office
6 Jun 2019, 1:44 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
5 Jun 2019, 12:59 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
5 Jun 2019, 9:29 am by Astarita
The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
4 Jun 2019, 11:41 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Issuer With Conducting $100 Million Unregistered ICO
4 Jun 2019, 9:42 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets
4 Jun 2019, 8:16 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members
3 Jun 2019, 2:11 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
3 Jun 2019, 1:21 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities
3 Jun 2019, 10:51 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/