Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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1 Oct 2018, 12:16 pm
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
14 Jun 2022, 8:06 am
The Securities and Exchange Commission has leved insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition of Toronto-based Score Media and Gaming, Inc. [read post]
7 Nov 2010, 7:14 am
Securities and Exchange Commission. [read post]
15 Jun 2022, 12:55 pm
The Securities and Exchange Commission has charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond offering. [read post]
16 Aug 2017, 1:30 pm
Amidst much anticipation, on July 25, 2017, the Securities and Exchange Commission (“SEC”) released a Report of Investigation (“Report”) under Section 21(a) of the Securities Exchange Act of 1934 warning the market that “tokens” issued in ICOs may be “securities” such that the full breadth of the U.S. federal securities laws may apply to their offer and sale. [read post]
7 Aug 2021, 4:45 am
Securities and Exchange Commission. [read post]
8 Sep 2014, 10:09 am
McNeil was an associate on the structured finance team at Hunton & Williams LLP, and counsel in the U.S. businesses group at MetLife. [read post]
28 Jun 2022, 7:18 am
HE CAN BE REACHED AT 617-823-3217 OR AT JNEWMAN@NEWMNSHAPIRO.COM The post Securities and Exchange Commission charges Ernst and Young for cheating by its audit professionals on CPA exams and withholding information from SEC’s Enforcement Division during the investigation. [read post]
15 Oct 2010, 12:10 pm
Securities and Exchange Commission published proposed Regulation MC under the Securities Exchange Act of 1934, intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities and national securities exchanges that post or make available for trading security-based swaps. [read post]
1 May 2014, 5:14 am
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
7 Jan 2015, 5:50 am
Securities and Exchange Commission. [read post]
27 Jun 2020, 6:54 am
Securities and Exchange Commission. [read post]
24 Nov 2021, 5:43 am
Securities and Exchange Commission (“SEC” or “Commission”), it also seems to be the start of an aggressive enforcement agenda led by its new Chairman and Director of Enforcement. [read post]
8 Jan 2013, 1:07 pm
Securities and Exchange Commission (No. 11-1274). [read post]
12 Apr 2011, 6:06 am
Securities and Exchange Commission. [read post]
12 Sep 2021, 3:58 am
The U.S. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
17 Nov 2021, 2:07 pm
Congress has established whistleblower programs with monetary awards to incentivize individuals to report possible violations of the federal securities laws to the Securities & Exchange Commission and the Commodities Futures Trading Commission. [read post]
20 Sep 2015, 6:40 am
In the first half of 2015, the Securities and Exchange Commission (the “SEC”) finalized or proposed a number of rules relating to security-based swaps (“SBSs”). [read post]
