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15 May 2010, 5:00 am by J Robert Brown Jr.
At the Rocky Mountain Securities Conference held in Denver on Friday, May 7, I asked Commissioner Walter how things had changed at the Commission over her long experience with the agency. [read post]
1 Jul 2013, 5:03 am by Brian Wolfman
by Brian Wolfman This June 21 article by James Stewart explains that In a departure from long-established practice, the recently confirmed chairwoman of the Securities and Exchange Commission, Mary Jo White, said this week that defendants would no longer be allowed to settle some cases while “neither admitting nor denying” wrongdoing. [read post]
4 Aug 2020, 6:53 am by Silver Law Group
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Oct 2018, 7:12 am by Doug Cornelius
Sources: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Securities and Exchange Commission v. [read post]
25 Jul 2014, 9:35 am by Lax & Neville LLP
On July 22, 2014, the Securities and Exchange Commission (“SEC”) charged Kevin McGrath (“McGrath”), a partner and account executive at Cameron Associates (“Cameron”), an investor relations firm in New York City, with insider trading on confidential nonpublic information he learned about two Cameron clients for whom McGrath was performing work. [read post]
18 Jan 2019, 9:20 am by Malecki Law Team
The current ongoing federal government shutdown adversely affects the Securities and Exchange Commission with a “very limited number of staff members available” to carry out the agency’s tasks. [read post]
20 Sep 2022, 12:14 pm by jeffreynewmanadmin
The Securities and Exchange Commission ordered  Waddell & Reed to pay close to $776,000 over alleged failures to prevent reverse churning in a wrap fee investment advisory program. [read post]
16 Mar 2009, 1:46 am
So, for the brave few, here’s a guide on registering a corporation with the Securities and Exchange Commission (SEC). 1. [read post]
9 Feb 2010, 7:10 am by Joy Doss
According to the Los Angeles Times, Robert Khuzami, the Securities and Exchange Commission's (SEC) director of enforcement, has initiated a new whistle-blower program to attempt to catch fraudsters in the act. [read post]
13 Jul 2011, 10:42 am
The Securities and Exchange Commission (SEC) has adopted final rules establishing a whistleblower program to provide financial rewards to individuals who, alone or with others, provide information regarding possible violations of securities laws to the SEC. [read post]
6 Jul 2020, 5:51 am
The Act was the first federal law to mandate disclosure of audited financial statements, it established the Securities and Exchange Commission (SEC), and is still the basis of much financial litigation. [read post]
4 Oct 2016, 6:52 am
Securities and Exchange Commission’s (SEC) review and a spirited debate on equity market structure, the SEC approved IEX’s application to become a national securities exchange on June 17, 2016. [1] As highlighted in the widely read book Flash Boys, by Michael Lewis, IEX employs a speed bump or delay on market participants accessing liquidity on IEX (IEX access delay). [read post]
29 Apr 2014, 4:44 pm by OSULEGALSCHOLARSHIP
The Securities and Exchange Commission Historical Society welcomes papers for consideration for the 2015 writing award, recognizing an essay on any area of municipal securities regulation. [read post]
17 Nov 2021, 12:32 pm by jeffreynewmanadmin
Securities and Exchange Commission (SEC) Gary Gensler has asked staff to recommend rules around ensuring principal trading firms (PTFs) are appropriately registered as dealers, calling for improved transparency in the world’s biggest bond market. [read post]
13 Jun 2022, 6:56 am by jeffreynewmanadmin
Charles Schwab Corp. shares slid 1.7% Friday, after the brokerage and wealth-management company said it expects to book a charge of at least $200 million in the second quarter relating to a Securities and Exchange Commission investigation of its robo-advisory business. [read post]
20 Feb 2020, 9:01 pm by Tamar Frankel
The Securities and Exchange Commission (SEC) recently passed Regulation Best Interest (Regulation BI), which imposes on broker-dealers a commitment to act in the best interests of their clients. [read post]