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17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
19 Nov 2011, 9:56 am
The MOU will facilitate the exchange of information with respect to regulated entities that operate across the U.S. [read post]
6 Aug 2020, 6:32 am
Securities and Exchange Commission. [read post]
17 Jul 2023, 8:27 am
Securities and Exchange Commission’s (SEC) lawsuit against Ripple Labs Inc. [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]
15 Jun 2011, 5:00 pm
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [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]
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]
10 Jan 2022, 12:54 pm
Securities and Exchange Commission followed through on its commitment to aggressively enforce securities laws in digital assets markets. [read post]
10 Jan 2022, 12:54 pm
Securities and Exchange Commission followed through on its commitment to aggressively enforce securities laws in digital assets markets. [read post]
9 Nov 2017, 6:15 am
Securities and Exchange Commission. [read post]
14 Mar 2020, 5:38 pm
Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by Cboe Exchange, Inc. to facilitate the continued operation of Cboe's options exchange in light of Cboe's decision to temporarily suspend…Read the Full Press ReleaseHave a securities law question? [read post]
7 Sep 2023, 5:55 am
Circuit Court found that the SEC exceeded its statutory authority when it ordered the national securities exchanges and FINRA to come up with a consolidated plan for market data that included non-SRO representatives.The exchanges lost their other two arguments for why the consolidated plan was invalid, but the D.C. [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]
29 Jun 2022, 8:31 am
The Securities and Exchange Commission (SEC) has opened an investigation into Ericsson’s handling and reporting of its ongoing Iraq corruption issues. [read post]
23 Aug 2007, 4:50 am
HSBC has suffered an early setback in its attempt to secure a 2.5 billion pound ($5 billion) takeover of Korea’s sixth-largest banking group, Korea Exchange Bank. [read post]
8 Feb 2008, 5:51 am
Securities and Exchange Commission (the “SEC”) may bring a complaint against the company as part of an investigation into whether bids were rigged on investment contracts with local governments. [read post]
11 Dec 2011, 6:17 am
Securities and Exchange Commission. [read post]
29 Sep 2020, 9:09 am
The Securities and Exchange Commission today announced charges against J.P. [read post]
9 Jun 2022, 11:40 am
The Securities and Exchange Commission has filed fraud charges against a Detroit-based hedge fund and its owner for allegedly engaging in a multiyear scheme that included misappropriating and misusing investors’ funds for personal use, including for jewelry, and credit card payments, and his wife’s business. [read post]
