Search for: "Securities and Exchange Commission"
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18 Sep 2024, 12:20 pm
The Securities and Exchange Commission today announced settled charges against Rari Capital, Inc., a supposed decentralized finance (DeFi) protocol, and its co-founders, Jai Bhavnani, Jack Lipstone, and David Lucid, for misleading investors and engaging…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Sep 2024, 11:30 am
The Supreme Court recently took the sledgehammer to such in-house adjudications in a case called Securities and Exchange Commission v. [read post]
18 Sep 2024, 9:00 am
The Securities and Exchange Commission today adopted amendments to certain rules under Regulation NMS to adopt an additional minimum pricing increment, or “tick size,” for the quoting of certain NMS stocks, reduce the access fee caps for protected…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Sep 2024, 6:51 am
With the rising popularity of rideshare services like Uber and Lyft in Chicago, more people are opting for the convenience and efficiency these platforms offer. [read post]
18 Sep 2024, 6:15 am
The Securities and Exchange Commission today announced charges against registered broker-dealer First Horizon Advisors, Inc. for failing to maintain and enforce policies and procedures reasonably designed to achieve compliance with Regulation Best…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 2:22 pm
It makes the broad-brush claim that the PBMs failed to comply with the Commission’s 2022 6(b) orders, which demanded extensi [read post]
17 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 11:10 am
The Securities and Exchange Commission today charged five entities and three individuals in connection with two relationship investment scams involving fake crypto asset trading platforms NanoBit and CoinW6, respectively. [read post]
17 Sep 2024, 10:01 am
The Securities and Exchange Commission announced that Prager Metis CPAs, LLC (Prager) and its California professional services firm, Prager Metis CPAs LLP, (collectively, the Prager Entities) agreed to pay $1.95 million to resolve two actions alleging misconduct in its audits of the now-defunct crypto asset trading platform, FTX, and auditor independence violations. [read post]
17 Sep 2024, 9:21 am
The Securities and Exchange Commission today announced that Prager Metis CPAs, LLC (Prager) and its California professional services firm, Prager Metis CPAs LLP, (collectively, the Prager Entities) agreed to pay $1.95 million to resolve two actions…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 8:48 am
Remove barriers to the consolidation of stock exchanges and post-trading infrastructure. [read post]
17 Sep 2024, 6:31 am
Securities and Exchange Commission’s (SEC) Rule 10b5-1, which provides a legal safe harbor for corporate insiders to trade their company’s stocks under predetermined trading plans before possessing material nonpublic information (MNPI). [read post]
17 Sep 2024, 6:31 am
Securities and Exchange Commission’s (SEC) Rule 10b5-1, which provides a legal safe harbor for corporate insiders to trade their company’s stocks under predetermined trading plans before possessing material nonpublic information (MNPI). [read post]
17 Sep 2024, 6:06 am
The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications. [read post]
17 Sep 2024, 5:33 am
Report Suspicious Activity: If you believe you may have been a victim of a foreign exchange scam, report the incident to the appropriate authorities, such as the Securities and Exchange Commission (SEC) or your local law enforcement agency. [read post]
17 Sep 2024, 5:00 am
He registered Vista Financial with the Securities and Exchange Commission in December 2021. [read post]
16 Sep 2024, 2:00 pm
Former CFO and Audit Committee Chair also Charged The Securities and Exchange Commission has filed charges against Paul D. [read post]
16 Sep 2024, 1:51 pm
The Securities and Exchange Commission today filed charges against Paul D. [read post]
16 Sep 2024, 6:51 am
” “Philip Markin knew or was reckless in not knowing that the information was material and nonpublic, the Securities and Exchange Commission said in a complaint filed in the US District Court for the Southern District of New York. [read post]
16 Sep 2024, 6:30 am
Securities and Exchange Commission (“SEC”) dismissed two contested Rule 102(e) proceedings against accountants, suggesting that the agency believes these proceedings to be unconstitutional. [read post]
