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27 Feb 2019, 9:51 am by afruland
Vanessa Countryman, '05:Named Acting Secretary at the Securities and Exchange Commission US Securities and Exchange Commission [read post]
26 Aug 2014, 5:52 am by Admin
A caller said that the Securities and Exchange Commission had a civil judgment against him for his violation of federal securities laws. [read post]
6 Aug 2014, 11:31 am by Laura Orr
From Gallagher Blogs: “History of Securities Regulation: Check out the Securities and Exchange Commission Historical Society, a virtual museum with lots of fascinating content: a timeline, original documents, oral histories, and more…. [read post]
6 Aug 2014, 11:31 am by Laura Orr
From Gallagher Blogs: “History of Securities Regulation: Check out the Securities and Exchange Commission Historical Society, a virtual museum with lots of fascinating content: a timeline, original documents, oral histories, and more…. [read post]
9 Feb 2010, 4:18 am by Scott Deatherage
The Securities and Exchange Commission (“SEC”) issued an interpretive release on February 2, 2010, entitled Commission Guidance Regarding Disclosure Related to Climate Change. [read post]
6 Jan 2017, 1:41 pm by Jeffrey A. Newman
The Securities and Exchange Commission announced that it had awarded more than $5.5 million to a whistleblower. [read post]
4 Jan 2017, 2:16 pm by Michael Simkovic
President-elect Trump intends to nominate Sullivan & Cromwell partner Jay Clayton to head the Securities and Exchange Commission according to reports by the Financial Times... [read post]
3 Aug 2017, 6:06 am by Ernest Holtzheimer
The post Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology appeared first on Private Business Counsel. [read post]
16 Oct 2017, 12:44 pm by Jeffrey A. Newman
The Securities and Exchange Commission (SEC) announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail customers. [read post]
27 Oct 2016, 7:02 pm by Steve Bainbridge
Walter Olson: The Securities and Exchange Commission has settled an enforcement action against Forcerank, LLC, a provider of a mobile phone game that enables players to engage in fantasy stock... [[ This is a content summary only. [read post]
22 Sep 2014, 3:46 pm by Mark Schlein
The Securities and Exchange Commission (SEC) announced today that a whistleblower will receive a $30 million reward for providing valuable information that led to a successful enforcement action. [read post]
On February 9, 2018, the Hong Kong Securities and Futures Commission (“SFC”) released a statement which, among other things, informs the marketplace that the SFC sent letters to seven Hong Kong cryptocurrency exchanges warning against listing instruments that qualify as “securities” under the Securities and Futures Ordinance (“SFO”) without a required license.[1]  Additionally, the SFC sent letters to seven crypto… [read post]
13 Feb 2019, 6:48 am by Jeffrey A. Newman
According to the Securities and Exchange Commission’s 2018 Annual Report, 262 tips were received from whistleblowers regarding insider trading and resulted in a total of 56 charges throughout the year. [read post]
18 Mar 2009, 2:40 am
United States Securities and Exchange Commission v Manterfield Court of Appeal “A regulatory body in the United States seeking to enforce disgorgement of proceeds of alleged fraud could be granted a freezing order over assets in the United Kingdom. [read post]
21 Jul 2013, 10:00 pm by Nietzer
., April 16, 2013)    The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]