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25 Jul 2016, 7:13 am by Doug Cornelius
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
7 Aug 2018, 9:07 am by John Jascob
Bats BZX Exchange, Inc., failed to convince three members of the Commission that its surveillance-sharing agreement with the Winklevoss twins’ Gemini Exchange was sufficient to prevent fraud and manipulation, as required by the Exchange Act. [read post]
9 Jul 2021, 7:07 am by John Jascob
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
4 Nov 2013, 5:33 am by Doug Cornelius
Take a look at the offering of Bio Profit Series V, LLC detailed in an enforcement action by the Securities and Exchange Commission. [read post]
30 Jul 2012, 4:27 pm
District Court for the Southern District of New York says that the Securities and Exchange Commission is not a doing a good enough job in providing oversight of $55 million in investor education funds and the way that the money is being disbursed. [read post]
24 Jun 2019, 11:59 am by Lubiner, Schmidt & Palumbo, LLC
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
4 Dec 2011, 5:07 pm by pgbarnes
Securities and Exchange Commission Inspector General H. [read post]
20 Jun 2017, 12:41 pm by Suzette Pringle
The report also identifies the top 50 settlements obtained by the Securities and Exchange Commission, based on the sum of disgorgements and civil penalties. [read post]
21 Aug 2012, 1:45 pm by Mark Astarita
 he Securities and Exchange Commission today announced a second round of charges in an insider trading case involving former professional baseball players and the former top executive at a California-based medical eye products company that was the subject of the illegal trading.The SEC brought initial charges in the case last year, accusing former professional baseball player Doug DeCinces and three others of insider trading on confidential information ahead… [read post]
28 Feb 2018, 10:00 am by Elizabeth Marshall Anderson
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
24 Feb 2015, 5:04 pm by Amy Ross
Securities and Exchange Commission leadership and staff members addressed the public on February 20-21 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
6 Mar 2014, 10:54 am by Tom Webley
As noted in Staff Advisory 14-21, its provisions reflect similar guidance from the Federal Financial Institutions Examination Council and the Federal Trade Commission and draft guidance from the Securities and Exchange Commission. [read post]
6 Aug 2015, 1:59 pm by Jason M. Halper
On August 4, 2015 the Securities and Exchange Commission issued interpretive guidance elaborating its view that the anti-retaliation provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act apply equally to tipsters who claim retaliation after reporting internally, as well as those who are retaliated against after reporting information to the SEC. [read post]
29 Aug 2017, 6:00 am by Alexander J. Davie
Although the ICO concept has gained traction very quickly and allowed various companies to raise over a billion dollars’ worth of digital currency directly from investors, many have suspected that ICOs, like their IPO counterparts, involve the issuance of securities; however, until recently, the Securities and Exchange Commission (SEC) had not yet weighed in. [read post]
6 Jul 2020, 4:00 am by Administrator
Excess Copyright Canadian Securities LawNew Brunswick Joins Canadian MoU Respecting Oversight of Exchanges The Ontario Securities Commission recently announced that the MoU between various Canadian securities regulators respecting the oversight of exchanges and quotation and trade reporting systems is being amended to add the Financial and Consumer Services Commission of New Brunswick as a party. [read post]
21 Apr 2010, 12:07 pm by Amir Efrati
When the Securities and Exchange Commission sued Goldman on Friday, it filed a civil complaint in federal court that, at 22 pages, seemed mighty short compared to most of the complex securities-fraud cases we read each day. [read post]