Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION" Results 221 - 240 of 10,040
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SEC and Actively Managed Exchange Traded Funds
13 Jan 2013, 5:34 am by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation,
Nearly three years after the U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC, Labor Department Enhance Efforts to Protect Retirement Savings and Investments
1 Aug 2008, 3:02 am
News release: "Securities and Exchange Commission Chairman Christopher Cox and U.S. [read post]
beSpacific - http://www.bespacific.com/
Cheesecake Factory settles with SEC over ‘false’ filings
4 Dec 2020, 9:44 am by Associated Press
Securities and Exchange Commission said Friday that The Cheesecake Factory settled charges that it misled investors on the impact the pandemic was having on its business. [read post]
On the Record - http://thedailyrecord.com/ontherecord/
Lehman's Advisers Earn $262 Million
9 Jul 2009, 4:36 am
Securities and Exchange Commission. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
SEC Asks Congress For Increased Authority To Regulate Muni Bond Market
8 Aug 2012, 9:01 am by Justin Bagdady
As stated by the Commission, “[d]espite its size and importance, the municipal securities market has not been subject to the same level of regulation as other sectors of the U.S. capital markets. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
SEC Updates and Expands Disclosures for Banking Registrants
25 Sep 2020, 7:00 am by Paolo Olavario
Securities and Exchange Commission (SEC) announced that it has adopted rules to update and expand the statistical disclosures that bank and savings and loan registrants provide to investors. [read post]
Financial Industry Review - http://blogs.orrick.com/financial/
EDGAR Tutorial
17 Sep 2009, 6:05 am
Securities and Exchange Commission (SEC)". [read post]
Virtual Library Cat's Eye View - http://deanelawlibrary.blogspot.com/
SEC prohibits listings of issuers not in compliance with compensation requirements
29 Jun 2012, 11:35 am by Stikeman Elliott LLP
Securities and Exchange Commission announced the adoption of new rules and amendments to its proxy disclosure rules that would generally prohibit national securities exchanges from listing the equity securities of an issuer that is not in compliance with compensation committee independence requirements. [read post]
Canadian Securities Law Online - http://www.canadiansecuritieslaw.com/
Statement by Chairman Clayton on Strengthening the SEC’s Whistleblower Program
26 Sep 2020, 6:27 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Clarity in Commission Orders
11 Aug 2015, 6:23 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Statement by SEC Chairman Jay Clayton on Proposed Order Concerning Equity Market Data
9 Jan 2020, 6:28 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
U.S Company Fined for Bribes Paid by Turkish Subsidiary
26 Jul 2007, 4:41 pm
This time, the Securities and Exchange Commission (SEC) announced yesterday that it has imposed a $300,000 civil penalty on Delta & Pine Land Company (Delta & Pine),... [read post]
International Trade Law News - http://www.djacobsonlaw.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/
SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
15 Jun 2021, 6:25 pm by Astarita
Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource…Read the Full Press ReleaseHave a securities law question? [read post]
Securities Law Blog - http://seclaw.blogspot.com/
The Urgent Need to Re?establish the Investor Advisory Committee
24 Sep 2011, 5:55 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
New Research Guide to Securities Law
4 Sep 2015, 7:39 am by J. Michael Goodson Law Library
Securities and Exchange Commission (SEC). [read post]
The Goodson Blogson - http://dukelawref.blogspot.com/
Making the Municipal Securities Market More Transparent, Liquid, and Fair
22 Feb 2015, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
A Quarter Century of Exchange-Traded Fun!
30 May 2019, 6:18 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
10 May 2019, 7:05 am by Unknown
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps… [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Financial Exploitation of Senior Citizens Continues to Increase
26 Apr 2011, 10:34 am by Page Perry LLC
Securities and Exchange Commission, 40 million Americans are age 65 or older, and that number will be 89 million in 2050. [read post]
Investment Fraud Lawyer Blog - http://www.investmentfraudlawyerblog.com/