Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
17 Aug 2021, 8:45 pm
On 16 August 2021, the European Central Bank (ECB) and the United States’ Securities and Exchange Commission (SEC) signed a memorandum of understanding to prepare for the registration of ECB-supervised entities as security-based swap dealers or major security-based swap participants in the United States. [read post]
9 Feb 2009, 2:25 pm
News release: "The United States Securities and Exchange Commission announced that on February 9, 2009, it submitted to the Honorable... [read post]
30 Apr 2015, 12:54 pm
On April 29, the Securities and Exchange Commission published proposed rules that would require non-United States persons that use United States personnel to arrange, negotiate or execute a security-based swap transaction in connection with its dealing activity to include such transaction for purposes of the de minimis exception set forth in Exchange Act Section 3(a)(71)(D). [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
12 Apr 2012, 7:26 pm
As part of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) was asked to solicit public comment and evaluate whether private litigants should be permitted to bring actions in the United States based on transnational securities frauds. [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]
24 Sep 2010, 6:00 am
On September 21, 2010, the Securities and Exchange Commission held its first in a series of hearings concerning the municipal securities markets. [read post]
15 Jun 2010, 3:52 pm
In Securities & Exchange Commission v. [read post]
11 Feb 2019, 7:03 pm
Only time will tell if the United States and other major nations adopt a similar approach. [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
29 Mar 2011, 5:27 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
19 Nov 2021, 5:09 am
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog -… [read post]
13 Sep 2014, 6:00 am
It does not address other potential sources of liability and sanction, such as federal mail and wire fraud statutes, state fraud statutes and common law remedies, RICO and the United States Securities and Exchange Commission’s (“SEC”) disciplinary powers. [read post]
19 Apr 2019, 2:09 pm
A new bill, the Token Taxonomy Act was introduced to congress to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude digital tokens from the definition of a security, to direct the Securities and Exchange Commission to enact certain regulatory changes regarding digital units secured through public key cryptography, to adjust taxation of virtual currencies held in individual retirement… [read post]
22 Jun 2020, 9:42 am
Securities and Exchange Commission, which involves a scheme to defraud foreign individuals seeking permanent residence in the United States through the EB-5 Immigrant Investor Program. [read post]
16 Aug 2012, 6:40 am
The Order is based on the entry of a permanent injunction against Rizvi in the civil action entitled Securities and Exchange Commission v. [read post]
27 Sep 2017, 11:41 am
This week, the Securities and Exchange Commission (“SEC”) announced the creation of a new Cyber Unit that will target cyber-related threats that may impact investors. [read post]
12 Sep 2017, 5:20 pm
Securities and Exchange Commission 17-130 Issue: Whether administrative law judges of the Securities and Exchange Commission are officers of the United States within the meaning of the appointments clause. [read post]
