Search for: "Securities and Exchange Commission"
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9 Feb 2010, 7:10 am
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]
5 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers, and clearing agencies. [read post]
17 Jun 2010, 3:34 am
Update: Part 3 - Open Letter to the Securities and Exchange Commission - Is Medifast Complying with Revenue Accounting Rules? [read post]
1 Dec 2018, 7:46 am
Securities and Exchange Commission (SEC) in the digital token (aka cryptocurrency) space have primarily focused on the primary issuances of tokens. [read post]
13 Oct 2022, 2:13 pm
The Securities and Exchange Commission has passed new rules requiring detailed electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs). [read post]
5 Jun 2004, 5:01 pm
On June 6, 1934, the US Securities and Exchange Commission was established to protect the interests of investors. [read post]
30 Nov 2017, 12:12 pm
Securities and Exchange Commission ratifies administrative law judges": Pete Schroeder of Reuters has this report. [read post]
13 Sep 2011, 2:23 am
The Municipal Securities Rulemaking Board (“MSRB”) announced that it would delay its municipal advisor rule proposals currently before the Securities and Exchange Commission (“SEC”) until the SEC adopts a permanent definition under the Securities Exchange Act of 1934. [read post]
20 Sep 2022, 12:21 pm
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and he can be reached at Jnewman@NewmanShapiro.com or at 978-880-4758 The post Morgan Stanley to pay $35 million to settle allegations that it failed to protect client information according to the Securities & Exchange Commission appeared first on Newman & Shapiro. [read post]
5 Feb 2009, 12:13 pm
Securities and Exchange Commission ( SEC ) as related to the Madoff ponzi scheme: The Securities and Exchange Commission (SEC) has posted information for Madoff investors at: [www.sec.gov] See also NYT article 2-5-09: by Diana B. [read post]
31 Mar 2023, 7:01 am
The post Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm appeared first on Jeff Newman Law. [read post]
9 Aug 2021, 12:27 pm
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that facilitated buying and selling of digital asset securities. [read post]
3 Oct 2022, 7:52 am
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
1 May 2015, 9:37 am
On April 16, 2015, the Securities and Exchange Commission (“SEC”) filed a complaint (“Complaint”) in the United States District Court for the Southern District of New York against former J.P. [read post]
2 Feb 2010, 2:55 am
David Chidester resigned Jan. 20 amid an ongoing investigation of Overstock by the Securities and Exchange Commission and one day after an unflattering article about CEO Patrick Byrne appeared in The Big Money, a business Web site by the editors of Slate. [read post]
13 Mar 2013, 4:55 pm
Securities and Exchange Commission. [read post]
13 Mar 2013, 4:55 pm
Securities and Exchange Commission. [read post]
27 Aug 2018, 12:34 pm
The Securities Exchange Commission on Tuesday filed charges against companies and “individuals” for selling Woodbridge Securities. [read post]
24 Jan 2011, 8:40 am
The Securities and Exchange Commission, as required by the Dodd-Frank financial reform law issued a report to Congress on Friday advocating that any investment professional, stockbrokers and investment advisors providing personalized investment advice to retail customers would have to adhere to a fiduciary standard, including the duty of loyalty, and the duty of care, in connection with the recommendation of investments and investment services. [read post]
10 Jul 2023, 9:22 am
In the midst of issuing the final opinions of the term, the Court also granted certiorari on a number of cases, one of which—Securities and Exchange Commission v. [read post]
