Search for: "Securities and Exchange Commission"
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20 Feb 2020, 9:01 pm
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]
3 Jun 2022, 6:59 am
HE CAN BE REACHED AT 978-880-4758 OR AT JNEWMAN@NEWMANSHAPIRO.COM The post Securities and Exchange Commission charges steel pipe manufacturer with violating Foreign Corrupt Practices Act for Brazilian bribes. [read post]
5 Jun 2015, 1:06 pm
Securities and Exchange Commission won a judgment against Washington attorney... [read post]
17 Feb 2012, 4:36 am
DID THE SECURITIES & EXCHANGE COMMISSION violate the Administrative Procedure Act? [read post]
9 Mar 2011, 5:56 am
SECURITIES AND EXCHANGE COMMISSION WORKERS IN CHICAGO disciplined for porn at work. [read post]
25 Mar 2021, 1:04 pm
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation appeared first on Newman & Shapiro. [read post]
3 Jun 2020, 6:17 am
Securities and Exchange Commission (SEC) if the Public Company Accounting Oversight Board (PCAOB) is prevented from reviewing the companies’ audits. [read post]
21 Jun 2022, 9:04 am
The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of interest provisions. [read post]
9 Feb 2010, 4:17 am
The Securities and Exchange Commission (“SEC”) issued an interpretive release on February 2, 2010, entitled Commission Guidance Regarding Disclosure Related to Climate Change. [read post]
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]
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 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]
30 Nov 2017, 12:12 pm
Securities and Exchange Commission ratifies administrative law judges": Pete Schroeder of Reuters has this report. [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]
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]
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]
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]
