Search for: "Securities and Exchange Commission"
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4 Jan 2017, 2:16 pm
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]
29 Sep 2022, 2:03 pm
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
27 Oct 2016, 7:02 pm
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]
10 Dec 2019, 10:43 am
Securities and Exchange Commission. [read post]
3 Sep 2011, 2:56 pm
According to Reuters, attorneys at the Securities and Exchange Commission (“SEC”) have reportedly begun making requests for information concerning proprietary algorithmic trading data as part of its authority to examine financial firms for compliance with federal regulations according to officials and outside lawyers. [read post]
8 Dec 2011, 3:25 pm
The Wall Street Journal reported earlier today that the Ontario Securities Commission (“OSC”) has approved Alpha (Alpha Trading Systems Limited Partnership and Alpha Exchange Inc.), Canada’s largest alternative trading platform to the TSX, as a stock exchange (see: Ontario Securities Regulator Allows Alpha to be Exchange). [read post]
3 May 2022, 10:44 am
The Securities and Exchange Commission is doubling the number of positions in its Enforcement’s Crypto Assets and Cyber Unit to meet the growing number of violations and complaints and the skyrocketing number of investors in the crypto markets. [read post]
5 Apr 2022, 8:49 am
Securities and Exchange Commission (C(2022)1962). [read post]
25 Sep 2019, 6:02 am
Securities and Exchange Commission. [read post]
21 Sep 2009, 10:20 am
According to the Courthouse News Service, the Securities and Exchange Commission (SEC) has fined Regions Bank $1 million for its role in an investment scam. [read post]
8 Jul 2024, 1:19 pm
In a major blow to the Securities and Exchange Commission (SEC), the Supreme Court ruled in SEC v. [read post]
3 Oct 2022, 7:08 am
The post Kim Karsashian will pay $1.26 Million to settle Securities and Exchange Commission probe on her promotion of cyrptocurrency appeared first on Newman & Shapiro. [read post]
29 Jul 2022, 12:36 pm
The post Carson Block and Muddy Waters sued for half of the $14 million whistleblower award by the Securities and Exchange Commission appeared first on Newman & Shapiro. [read post]
14 Apr 2021, 1:36 pm
The Securities and Exchange Commission charged Douglas Elstun, an investment advisor serving pro athletes, with defrauding his clients with undisclosed fees and misleading them about a high-risk investment strategy. [read post]
4 May 2023, 12:15 am
The Securities and Exchange Commission yesterday adopted amendments to its rules governing share repurchase disclosures. [read post]
16 Aug 2021, 7:05 am
The Securities and Exchange Commission and the European Central Bank (ECB) today announced the signing of a Memorandum of Understanding (MOU) to consult, cooperate, and exchange information in connection with the supervision, enforcement, and oversight…Read the Full Press ReleaseHave a securities law question? [read post]
16 Dec 2022, 11:34 am
The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits. [read post]
15 Nov 2021, 3:53 pm
From Davis Polk: On September 29, 2021, the Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds (ETFs), and other... [[ This is a content summary only. [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]
2 Jul 2009, 8:37 pm
Further complication … The Securities and Exchange Commission (SEC) reportedly previously investigated suspicions of insider trading between Husband and the hedge fund in stock of Husband’s former employer. [read post]
