Search for: "U. S. Securities and Exchange Commission" Results 21 - 40 of 453
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U.S. Court of Appeals Narrows Application of Conflict Minerals Rules
1 May 2014, 5:14 am by Morse, Barnes-Brown Pendleton
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
MBBP's Good Company - http://blogmbbp.wordpress.com
SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
22 Jul 2021, 10:50 am by Mark Astarita
According to the SEC’s complaint filed today in U. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Metamorphosis: Digital Assets and the U.S. Securities Laws
7 Jul 2018, 7:03 am
Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial coin offering (“ICO”) industries about the securities law implications for digital assets. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Goldman Under Investigation in U.S. and Britain
10 Aug 2010, 3:50 am by By DEALBOOK
Goldman Sachs is under investigation by United States and British watchdogs over the timing of disclosures relating to the Securities and Exchange Commission's fraud charges against the firm, The Telegraph reported. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
MPs want the U.S. Securities and Exchange Commission to cut JBS out of American financial markets
10 Jan 2024, 9:02 pm by Dan Flynn
Securities and Exchange Commission (SEC) approval. [read post]
Food Safety News - http://www.foodsafetynews.com/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
43rd Annual Rocky Mountain Securities Conference Coverage: Enforcement in an Era of Reform and Budgetary Constraints
9 May 2011, 10:00 am by Michael Silverman
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
SEC Determines Digital Asset, VCOIN, Not a Security
23 Nov 2020, 6:31 am by Mayme Beth Donohue
(“IMVU”) received no-action relief from the Securities and Exchange Commission (the “SEC”) confirming that the Division of Corporate Finance will not recommend enforcement action against IMVU for selling its digital asset, VCOIN. [read post]
Blockchain Legal Resource - https://www.blockchainlegalresource.com/
U.S. Inquiry Grows Over Olympus Payout
27 Oct 2011, 5:46 pm by By BEN PROTESS and HIROKO TABUCHI
The Federal Bureau of Investigation began looking into the case two weeks ago, and the Securities and Exchange Commission and other regulators have now followed suit. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
Testimony by Chair Gensler Before the U.S. House of Representatives Committee on Financial Services
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Testimony by Chair Gensler Before the U.S. House of Representatives Committee on Financial Services
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
U.S. Regulators Face Budget Pinch as Mandates Widen
3 May 2011, 5:50 pm by By BEN PROTESS
The Securities and Exchange Commission and the Commodity Futures Trading Commission are struggling to fill crucial jobs, enforce new rules, upgrade market surveillance technology and pay for travel. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
Blockchain and Initial Coin Offerings: SEC Provides First U.S. Securities Law Guidance
9 Aug 2017, 6:00 am
Securities and Exchange Commission (SEC) reminded the industry and so-called “disruptors” that federal securities laws may apply to some of these offerings. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
U.S. Charges Former Merrill Lynch Financial Advisor Thomas Buck With Securities Fraud
9 Nov 2017, 1:40 pm by Christopher J. Gray
Buck has also agreed to a monetary settlement with the Securities and Exchange Commission (“SEC”) in the amount of approximately $5 million. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Testimony Before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations
8 May 2019, 12:36 pm
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
RIA Switch Deadline Still Not Formally Postponed
11 Jun 2011, 3:33 pm
Although the U S Securities and Exchanges Commission (SEC) has publicly stated that the July 21, 2011 deadline for "Mid-Sized Investment Advisers" to register with the States will likely be moved, as of yet there is no rule formally postponing the deadline. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Binance Lawsuit Could Be ‘Huge Mistake’ or Bring Needed Clarity to U.S. Crypto Industry
5 Jun 2023, 6:33 pm by Stoltmann Law
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
Securities Fraud Attorneys Blog - https://blog.stoltmannlaw.com/
Binance Lawsuit Could Be ‘Huge Mistake’ or Bring Needed Clarity to U.S. Crypto Industry
5 Jun 2023, 8:15 pm by Stoltmann Law
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
Securities Fraud Attorneys Blog - https://blog.stoltmannlaw.com/
Testimony of Chair Gary Gensler Before the U.S Senate Committee on Banking, Housing, and Urban Affairs
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Testimony of Chair Gary Gensler Before the U.S Senate Committee on Banking, Housing, and Urban Affairs
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/