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9 Mar 2011, 5:56 am by Glenn Reynolds
SECURITIES AND EXCHANGE COMMISSION WORKERS IN CHICAGO disciplined for porn at work. [read post]
17 Feb 2012, 4:36 am by Glenn Reynolds
DID THE SECURITIES & EXCHANGE COMMISSION violate the Administrative Procedure Act? [read post]
25 Mar 2021, 1:04 pm by jeffreynewmanadmin
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 by jeffreynewmanadmin
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 by Scott Deatherage
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]
17 Jun 2010, 3:34 am by Sam E. Antar
Update: Part 3 - Open Letter to the Securities and Exchange Commission - Is Medifast Complying with Revenue Accounting Rules? [read post]
13 Oct 2022, 2:13 pm by jeffreynewmanadmin
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]
13 Sep 2011, 2:23 am by Jay Eng
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 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]
20 Sep 2022, 12:21 pm by jeffreynewmanadmin
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]
17 Aug 2023, 1:02 pm by Matt Miller
Securities and Exchange Commission (SEC) has proposed a set of new rules intended to create a consistent, comparable, and reliable source of information regarding climate change impacts and sustainability efforts to inform and protect investors while facilitating further innovation in this evolving area. [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 by jeffreynewmanadmin
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 by jeffreynewmanadmin
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 by Silver Law Group
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
1 May 2015, 9:37 am by Lax & Neville LLP
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]