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7 May 2020, 8:09 am by jeffreynewmanadmin
Despite the COVID-19 crisis, the Securities & Exchange Commission has continued to increase multi-million dollar awards awards under its Dodd-Frank whistleblower program. [read post]
4 Aug 2020, 6:53 am by Silver Law Group
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
11 Apr 2013, 6:58 am
  Other additional approaches which can be pursued simultaneously include reporting notices of wrongdoing to the various respective regional offices of the Securities and Exchange Commission and the United States Department of Justice, including disclosures to the various United States Attorney’s Offices in the various and several United States District Courts throughout the United States. … [read post]
3 Aug 2017, 6:06 am by Ernest Holtzheimer
The post Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology appeared first on Private Business Counsel. [read post]
6 Jul 2020, 5:51 am
The Security Exchange Act of 1934 ( “the Act”) is the most expansive secondary market regulation enacted in the history of the United States. [read post]
30 Jul 2010, 3:14 am
Jun. 24, 2010), the United States Supreme Court held that domestic courts lack jurisdiction over claims brought by private citizens pursuant to Section 10(b) of Securities Exchange Act of 1934 (“Exchange Act’), 15 U.S.C. § 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. § 240.10b-5, against corporations whose stock is traded exclusively in foreign exchanges.  [read post]
26 Dec 2016, 3:28 am
United States Securities and Exchange Commission, Respondent (Opinion, United States Court of Appeals for the Tenth Circuit, 15-9586 / December 28, 2016) in which it deemed Securities and Exchange Commission ("SEC") Administrative Law Judges ("ALJs") to be serving in violation of the Appointments Clause of the Constitution. [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]
11 Apr 2013, 6:58 am
  Other additional approaches which can be pursued simultaneously include reporting notices of wrongdoing to the various respective regional offices of the Securities and Exchange Commission and the United States Department of Justice, including disclosures to the various United States Attorney’s Offices in the various and several United States District Courts throughout the United States. … [read post]
21 Jun 2018, 5:59 pm by Mark Camarigg
In a 7-2 ruling, the Supreme Court held today that Securities and Exchange Commission (SEC) administrative law judges (ALJ) are “officers... [read post]
2 Jan 2019, 4:00 pm
Counsel for three non-profit organizations acting on behalf of Indigenous peoples in Guatemala are asking the British Columbia Securities Commission and the United States Securities and Exchange Commission to investigate two Canadian mining companies’ alleged failure to disclose material information related to a planned purchase of one by the other. [read post]
8 Jan 2015, 8:30 am by Morse, Barnes-Brown Pendleton
By: Mark Tarallo On December 17, 2014, the United States Securities and Exchange Commission (“SEC) issued proposed amendments to the existing rules adopted under Section 12 (g) of the Exchange Act to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were adopted as part of the JOBS Act. [read post]
26 Jun 2020, 4:30 pm by Julie Bauman
June 16, 2020), the United States Court of Appeals for the District of Columbia Circuit invalidated the Securities and Exchange Commission’s (“SEC”) experimental transaction fee pilot program to study the market effects of broker-dealer incentive programs used by domestic stock exchanges. [read post]
27 Dec 2013, 9:00 am by The Public Employment Law Press
Information for individual considering retirement available at the Securities and Exchange Commission’s websiteSource: United States Securities and Exchange CommissionThe United States Securities and Exchange Commission has posted a number of aids to assist individuals interested in planning for retirement on the Internet. [read post]
24 Sep 2010, 6:00 am by Keith Paul Bishop
On September 21, 2010, the Securities and Exchange Commission held its first in a series of hearings concerning the municipal securities markets.   [read post]
2 Oct 2017, 7:31 am by Legal Profession Prof
A majority of the United States Court of Appeals for the District of Columbia Circuit in the main upheld findings by the SEC The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about... [read post]