| 单词 | securities law |
| 例句 | His father is a partner in the Manhattan law firm Hahn & Hessen, where he practices corporate and securities law. Lindsay Lieberman, Isaac Kardon 2018-09-23T04:00:00Z The class investigated the show’s prickly – and often duplicitous – legal matters, like hostile takeovers and securities law. Classes on celebrities like Taylor Swift and Rick Ross are engaging a new generation of law students 2023-11-11T05:00:00Z Industry participants have argued U.S. securities laws are unworkable when it comes to crypto and lobbied for new regulations. US SEC drops claims against two Ripple Labs executives 2023-10-19T04:00:00Z The agency said it has not concluded that anyone has violated federal securities laws. SEC seeks court order to make Elon Musk to testify in probe of his Twitter acquisition 2023-10-05T04:00:00Z The investigation concerns whether Musk broke federal securities laws in 2022 when he bought stock in Twitter, which Musk renamed X, as well as statements and SEC filings he made in relation to the deal. Elon Musk's Twitter takeover being probed by SEC 2023-10-05T04:00:00Z The filing in San Francisco federal court said the agency is probing whether his 2022 stock purchases before he bought the company outright and statements he made about those investments broke securities laws. Regulator sues Musk to force testimony in X probe 2023-10-05T04:00:00Z He was arrested in Japan in November 2018 on charges of breach of trust, misusing company assets for personal gains and violating securities laws by not fully disclosing his compensation. Hearings in $1 billion lawsuit filed by auto tycoon Carlos Ghosn against Nissan starts in Beirut 2023-09-18T04:00:00Z Securities and Exchange Commission dropped claims against two Ripple Labs executives in its lawsuit alleging the blockchain company violated U.S. securities law, according to a court filing in New York on Thursday. US SEC drops claims against two Ripple Labs executives 2023-10-19T04:00:00Z And in June, the SEC accused Binance and its owner of misusing investor funds, operating as an unregistered exchange and violating a slew of federal securities laws. Binance.US CEO departs as crypto company cuts a third of its workforce 2023-09-13T04:00:00Z Ghosn was arrested in Japan in November 2018 on charges of breach of trust, misusing company assets for personal gain and violating securities laws by not fully disclosing his compensation. Two men questioned in Lebanon at Turkey’s request over 2019 escape of former Nissan tycoon 2023-09-08T04:00:00Z Failing to register deprives investors of "the robust disclosures and other safeguards long provided by our securities laws," said Antonia Apps, director of the SEC's New York office. LA media company settles first SEC enforcement case over NFTs 2023-08-28T04:00:00Z The settlement argues that UBS bankers gave false and misleading statements about the health of the mortgages in those bonds to the buyers in violation of federal securities law. UBS to pay $1.44 billion to settle 2007 financial crisis-era mortgage fraud case, last of such cases 2023-08-14T04:00:00Z The companies and Shihara agreed to an order barring them from violating U.S. securities laws. Bittrex to pay $24 million to settle with US securities regulator 2023-08-10T04:00:00Z Craig seeks damages for the decline in Target's share price caused by the consumer reaction and for a judge to rule the company violated U.S. securities laws. Target sued by investor over backlash to LGBTQ merchandise 2023-08-09T04:00:00Z Federal securities laws require banks and investments firms to maintain records and make sure their employees are not conducting company business using unauthorized means of communication. Banks Fined $549 Million Over Use of WhatsApp and Other Messaging Apps 2023-08-08T04:00:00Z Impact Theory said it was pleased to settle, though "disappointed" at the SEC's viewing digital assets "through the lens of the securities laws." LA media company settles first SEC enforcement case over NFTs 2023-08-28T04:00:00Z Chan also said James could pursue some claims under the Martin Act, a powerful state securities law, and that the "earned interest accounts" that Celsius offered customers qualified as securities under state law. Founder of bankrupt crypto lender Celsius must face NY fraud lawsuit 2023-08-04T04:00:00Z Securities and Exchange Commission's lawsuit accusing the world's largest publicly traded cryptocurrency exchange of violating federal securities laws. Coinbase asks US federal judge to dismiss SEC's lawsuit 2023-08-04T04:00:00Z In a victory for the industry, a U.S. judge ruled in July that Ripple Labs did not violate federal securities law by selling its XRP token on public exchanges. Coinbase revenue beats estimates on interest income boost 2023-08-03T04:00:00Z The price of XRP popped 78% after a U.S. judge ruled on July 13 that issuer Ripple Labs' sales of the token on public exchanges didn't violate securities law, and it's still up about 47%. Cryptoverse: Ripple effect as explosive XRP leads market charge 2023-07-25T04:00:00Z The agency said it needed the names to probe for securities law violations associated with the attack, arguing that Covington’s law firm status did not shield it from cooperating. US court orders law firm Covington to name some clients for SEC probe 2023-07-24T04:00:00Z “The Board’s inaction and inadequate disclosures, and the close relationships of several Board members to Mr. Musk, raise questions about the effectiveness of their corporate governance and potential violations of securities laws.” Elizabeth Warren wants SEC to investigate Tesla over Elon Musk’s dual role running Twitter 2023-07-17T04:00:00Z Thursday's ruling that Ripple Labs Inc did not violate securities law by selling its XRP token on exchanges was the first major setback for the SEC in a decade of enforcement against the cryptocurrency industry. Analysis: Crypto firms facing US SEC charges find hope in Ripple ruling, experts say 2023-07-17T04:00:00Z Ten states accused Coinbase in June of violating state securities laws through its staking program, which allows cryptocurrency holders to lock up certain assets for a period of time in exchange for yield. Coinbase limiting staking service for retail customers in four states 2023-07-14T04:00:00Z On Thursday Ripple Labs got a landmark ruling from a federal judge who said some of the company's XRP token sales were not subject to securities laws. Explainer: What makes a crypto asset a security in the US? 2023-07-14T04:00:00Z A U.S. judge ruled that Ripple Labs did not violate federal securities law by selling its XRP token on public exchanges. Dollar at 15-month low as easing inflation firms rate peak bets 2023-07-14T04:00:00Z The S.E.C. sued Ripple in December 2020, accusing the firm of violating securities laws in one of the first major legal fights involving cryptocurrencies. Crypto Industry Secures Early Victory in Legal Battle With Regulators 2023-07-13T04:00:00Z The Securities and Exchange Commission has been investigating whether preliminary merger discussions between the SPAC, Digital World Acquisition Corporation, and Trump Media & Technology Group, violated federal securities laws. SPAC Tied to Trump’s Media Business Says It Has a Deal With Regulators 2023-07-03T04:00:00Z The global cryptocurrency industry has been caught in the crosshairs of the U.S. securities regulator on alleged violations of securities laws. Bitcoin eyes third straight day of gains after touching two-month high 2023-06-21T04:00:00Z The regulator got a partial victory because Torres also ruled that Ripple violated securities laws when it sold XRP directly to sophisticated investors such as hedge funds. Explainer: What makes a crypto asset a security in the US? 2023-07-14T04:00:00Z Ghosn was arrested in Japan in November 2018 on charges of breach of trust, misusing company assets for personal gains and violating securities laws by not fully disclosing his compensation. Auto tycoon Ghosn files $1 billion lawsuit in Lebanon against Nissan over his imprisonment in Japan 2023-06-20T04:00:00Z Judge Torres also found that Ripple had violated securities law when it sold XRP to institutional investors, like sophisticated hedge funds. Crypto Industry Secures Early Victory in Legal Battle With Regulators 2023-07-13T04:00:00Z Digital World said that under the tentative settlement with the S.E.C. it would pay a penalty of $18 million and revise some of its regulatory filings to comply with federal securities laws. SPAC Tied to Trump’s Media Business Says It Has a Deal With Regulators 2023-07-03T04:00:00Z The move comes at a time when the global cryptocurrency industry has been caught in the crosshairs of the U.S. securities regulator on alleged violations of securities laws. BlackRock files for bitcoin ETF in push into crypto 2023-06-16T04:00:00Z That means most crypto exchanges have to comply with the securities laws too, he added. US SEC chair says crypto companies made 'calculated' decision to flout rules 2023-06-08T04:00:00Z The S.E.C. complaint took issue with Coinbase’s claims that it was fully compliant with applicable securities laws before offering new digital products for trading, dismissing them as “lip service.” Coinbase Accused of Breaking Market Rules as Crypto Crackdown Widens 2023-06-06T04:00:00Z “We are pleased that the court found that XRP tokens were offered and sold by Ripple as investment contracts in violation of the securities laws in certain circumstances,” the statement said. Crypto Industry Secures Early Victory in Legal Battle With Regulators 2023-07-13T04:00:00Z The appeals court agreed with a hedge fund manager charged by the S.E.C. for violating securities laws who said the agency’s enforcement power was unconstitutional; the government is petitioning for review. Can Apple Take the Metaverse Mainstream? 2023-06-06T04:00:00Z Federal authorities in the U.S. sued the cryptocurrency trading platform Coinbase, claiming that the company broke securities law by not registering as a broker. Your Wednesday Briefing 2023-06-07T04:00:00Z The regulator is seeking financial penalties and wants a judge to order Coinbase to follow U.S. securities law. Explainer: -What makes a crypto asset a security in the U.S.? 2023-06-07T04:00:00Z Slack said the lawsuit should be dismissed because Mr. Pirani bought unregistered shares that were not covered by the prospectus under securities laws. Markets Await Clues for Fed’s Next Move in May Jobs Report 2023-06-02T04:00:00Z The court’s six Republican-appointed judges rejected claims by Gap shareholder Noelle Lee that enforcing the forum selection clause would allow the company to avoid any litigation and effectively waive its obligations under federal securities law. The Gap beats shareholder lawsuit over commitment to diversity 2023-06-01T04:00:00Z In 2014, he admitted to violating Texas securities law, and a year later was indicted on securities fraud charges in his hometown near Dallas, accused of defrauding investors in a tech startup. Fight still ahead for Texas’ Ken Paxton after historic impeachment deepens GOP divisions 2023-05-28T04:00:00Z In 2014, he admitted to violating Texas securities law, and a year later he was indicted on securities fraud charges in his hometown near Dallas, accused of defrauding investors in a tech startup. Texas’ GOP-held House set for impeachment proceedings against Attorney General Ken Paxton 2023-05-27T04:00:00Z The regulator this week also sued Binance, claiming the world's largest crypto exchange engaged in "an elaborate scheme to evade U.S. federal securities laws." Explainer: -What makes a crypto asset a security in the U.S.? 2023-06-07T04:00:00Z In 2014, he admitted to violating Texas securities law over not registering as an investment advisor while soliciting clients. Texas lawmakers recommend impeaching Attorney General Ken Paxton after Republican investigation 2023-05-25T04:00:00Z Under Indian securities law every listed company must have 25% of public float. India's top court gives market watchdog 3 more months to finish Adani probe 2023-05-17T04:00:00Z The hack was carried out by the Chinese-linked Hafnium cyber-espionage group, according to court filings, and the SEC said it needed the client names to probe for securities law violations associated with the attack. SEC, Covington dig in their heels as judge weighs US demand for client names 2023-05-10T04:00:00Z The SEC, which protects investors and enforces securities law, did not disclose the name of the whistleblower, the nature of the tip, the company or companies involved nor any other information about the case. Securities and Exchange Commission awards record $279 million to whistleblower 2023-05-05T04:00:00Z The complaint asserts claims under the federal securities laws and alleges the offer documents contained material misstatements and omissions, the Wall Street giant said. Goldman Sachs named as defendant in SVB-related class action lawsuit 2023-05-04T04:00:00Z Securities and Exchange Commission that it has not broken any securities laws in its formal response to a legal threat received from the regulator, the firm said on Thursday. 'Coinbase does not list securities,' company tells U.S. regulator 2023-04-27T04:00:00Z It followed a disclosure by Coinbase that the agency was investigating the company for potential violations of securities law. The Calculus Behind Firing Tucker Carlson 2023-04-25T04:00:00Z The crypto industry largely believes it operates in a regulatory gray area not governed by existing U.S. securities laws, and that new legislation is needed to regulate the sector. Coinbase files legal challenge to push SEC to write rules on crypto 2023-04-25T04:00:00Z Gensler defended the regulator, saying he had never seen a sector break so many securities laws with such regularity, after being accused of failing to spot problems at FTX before the cryptocurrency exchange collapsed. Are Text Messages the New Social Media? One Start-Up Thinks So. 2023-04-22T04:00:00Z By trying to legitimize crypto in the eyes of the government, was Chainalysis simply providing cover for companies that violate securities law or engage in widespread fraud? The Crypto Detectives Are Cleaning Up 2023-04-22T04:00:00Z In four hours of testimony before combative House Republicans, Gary Gensler, the agency’s chief, said that the regulator would “continue to pursue” cryptocurrency companies to make them comply with U.S. securities laws. The Plan to Get Rupert Murdoch to Pay Up 2023-04-19T04:00:00Z "This raises serious concerns that the rulemaking process is being rushed, undermining the quality of our securities laws and risking negative unintended consequences," said Republican Congressman Patrick McHenry, the committee's chairman. US Republican lawmakers slam SEC chair on 'rushed' rulemaking 2023-04-18T04:00:00Z One is focused on whether preliminary merger discussions between Digital World and Trump Media violated federal securities laws. SPAC Tied to Trump Media Rushes to Complete Deal 2023-04-02T04:00:00Z They argued that the protections could rubber stamp crypto tokens that might be unregistered securities, as well as transactions that could be illegal under U.S. securities laws. Judge halts Voyager Digital's $1.3 bln sale to Binance.US 2023-03-27T04:00:00Z On Wall Street, shares of Coinbase Global fell 14.1% after the cryptocurrency trading platform said it had been warned by the Securities and Exchange Commission that it could face charges of violating U.S. securities laws. Stocks tick higher after another dizzying day on Wall Street 2023-03-23T04:00:00Z The S.E.C. filed a complaint in federal court in the Southern District of New York charging the entrepreneur, Justin Sun, with securities law violations linked to his management of three crypto companies. Crypto Entrepreneur and Celebrity Promoters Face S.E.C. Charges 2023-03-22T04:00:00Z The crypto industry believes it operates in a regulatory gray area not governed by existing U.S. securities laws - and that new legislation is needed to regulate the industry. Analysis: Coinbase, SEC on collision course for 'existential' clash over crypto industry 2023-03-24T04:00:00Z SPACs are not allowed to hold serious merger discussions before they go public, and if they do, it can violate federal securities laws. SPAC Tied to Trump Media Rushes to Complete Deal 2023-04-02T04:00:00Z U.S. securities law bars "insider trading" — buying or selling stocks based on access to nonpublic information not available to other investors — under certain circumstances. Wealthy executives make millions trading competitors’ stock with remarkable timing 2023-03-17T04:00:00Z They argued that the protections could rubber stamp crypto transactions that might be illegal under U.S. securities laws. U.S. judge refuses to delay Voyager-Binance sale during DOJ appeals 2023-03-16T04:00:00Z Jill Fisch, a securities law scholar and University of Pennsylvania law professor, said the rule will likely face legal challenges no matter how accommodating the nation’s top financial regulator is to the feedback. SEC’s climate reporting draft rule draws huge public comment 2023-03-14T04:00:00Z The SEC said Parekh agreed to an injunction against further securities law violations, and will be subject to a civil fine and disgorgement. Evoqua Water to pay $8.5 mln to settle U.S. SEC accounting fraud charges 2023-03-13T04:00:00Z The problems for China Renaissance started when the investment bank’s former president, Cong Lin, disappeared in September amid accusations that a China Renaissance subsidiary had violated securities laws, according to Chinese business publication Caixin. Why are China’s tech leaders still disappearing if the crackdown is over? 2023-03-03T05:00:00Z It has raised concerns in court filings that Voyager cannot prove that the Binance deal or any other crypto transaction complies with U.S. securities law. SEC objections to Voyager-Binance deal criticized by U.S. judge 2023-03-03T05:00:00Z In addition to the financial penalty, both defendant parties agreed to cease and desist from violating securities law in the future. Greenbrier firm and former CEO settle perks and payments charges with feds 2023-03-02T05:00:00Z The SEC has maintained that pre-existing securities laws also apply to digital assets and that many crypto tokens meet the definition of a security, which the crypto industry has previously criticized. Robinhood says SEC issued subpoena related to crypto operations 2023-02-27T05:00:00Z District Court in Brooklyn, accuses Watson and the company of violating anti-fraud provisions of federal securities laws. Ozy Media founder Carlos Watson denies federal fraud charges 2023-02-23T05:00:00Z The SEC has maintained that pre-existing securities laws also apply to digital assets, and that many crypto tokens meet the definition of a security. Trade group argues U.S. SEC case unfairly labels crypto as securities 2023-02-22T05:00:00Z When pressed by Wiles as to whether the SEC believed that the Voyager sale violated U.S. securities laws, SEC attorney William Uptegrove did not have a definite answer. SEC objections to Voyager-Binance deal criticized by U.S. judge 2023-03-03T05:00:00Z The SEC sued Covington last month to force the powerful D.C.-based firm to identify the clients as part of an investigation into potential securities law violations associated with the hack. SEC demand for client names is an 'assault,' law firm Covington says 2023-02-15T05:00:00Z Otherwise, companies could face a far larger pool of litigants seeking damages, he said, which is not what Congress intended for securities law. Carlyle Taps a Former Goldman Executive to Fill Its Leadership Void 2023-02-06T05:00:00Z “There’s a kind of prima facie appearance of: ‘you scratch my back, I scratch yours,’” said Yaron Nili, an associate professor at the University of Wisconsin Law School who specializes in corporate and securities law. The Blurred Lines Between Goldman C.E.O.’s Day Job and His D.J. Gig 2023-02-05T05:00:00Z “Moreover, taking action to impede former employees from communicating directly with the Commission staff about a possible securities law violation is not only bad corporate governance, it is illegal.” Activision Blizzard to pay $35 million to settle SEC charges on workplace disclosures 2023-02-03T05:00:00Z The group asked the Securities and Exchange Commission to investigate whether Shell broke securities laws and misled investors about the extent of its renewable energy investments. Shell profit doubles to record as war drives up energy costs 2023-02-02T05:00:00Z At the time of the tweets, Denholm led Tesla's audit committee, which oversees company controls meant to ensure compliance with securities law. Tesla chair testifies she would have quit if Musk had lied in 2018 tweets 2023-01-28T05:00:00Z Shareholders are suing the Tesla CEO under federal securities law over his 2018 tweets, which they allege were false and misleading statements that caused them financial harm and losses. Musk’s securities fraud trial begins over Tesla ‘Funding secured’ tweet 2023-01-17T05:00:00Z “The question is: What is best for Goldman Sachs?,” said Jonathan Macey, a professor of corporate and securities law at Yale Law School. The Blurred Lines Between Goldman C.E.O.’s Day Job and His D.J. Gig 2023-02-05T05:00:00Z The problem: They violated securities laws by failing to adhere to “disclosure requirements designed to protect investors,” said the S.E.C. chair, Gary Gensler. The S.E.C.’s Crypto Crackdown Intensifies 2023-01-13T05:00:00Z Around half are dismissed for failing to comply with securities law and most of the rest are settled. Musk bets big on beating shareholders at 'funding secured' trial 2023-01-13T05:00:00Z The firms violated securities laws through the offer and sale of crypto assets through their Gemini Earn product, the SEC said. U.S. securities regulator charges Genesis, Gemini with unregistered offerings 2023-01-12T05:00:00Z He added that the charges should “make clear to the marketplace and the investing public that crypto lending platforms and other intermediaries need to comply with our time-tested securities laws.” S.E.C. Charges Crypto Companies With Offering Unregistered Securities 2023-01-12T05:00:00Z “The order casts McDonald’s, the victim of Mr. Easterbrook’s deception, as a securities law violator through a novel interpretation of the Commission’s expansive executive compensation disclosure requirements,” they said. McDonald’s Former C.E.O. Pays for a Workplace Scandal 2023-01-10T05:00:00Z “I believe that securities law is quite robust and covers much of the activity,” Mr. Gensler concluded, “not only of the tokens but particularly the intermediaries in crypto securities.” Even After FTX, S.E.C. Chair Sees No Need for New Crypto Laws 2022-12-22T05:00:00Z Most chief executives avoid the risks of testifying under oath, but Musk has taken several cases to trial and subjected himself to cross examination, although none were brought under federal securities law. Musk bets big on beating shareholders at 'funding secured' trial 2023-01-13T05:00:00Z The Securities and Exchange Commission said in a statement that it had authorized charges “relating to Mr. Bankman-Fried’s violations of our securities laws.” Your Tuesday Briefing 2022-12-13T05:00:00Z Securities and Exchange Commission said it had authorized separate charges against Bankman-Fried “relating to his violations of securities laws, to be filed publicly tomorrow.” FTX founder Sam Bankman-Fried arrested in Bahamas after U.S. authorities file criminal charges 2022-12-12T05:00:00Z The SEC on Dec. 12 said it had authorized charges against Bankman-Fried relating to violations of securities laws. Factbox: Global regulatory actions against FTX 2022-12-13T05:00:00Z Binance has been sued by customers for mishandling sensitive personal data and violating securities laws. In FTX Collapse, Binance Sees a Chance to Become the New Face of Crypto 2022-12-12T05:00:00Z The scandal has inspired calls across the E.U. for broader changes to securities law, and generated a mountain of investor lawsuits in Germany. The Legal Heat Grows for Bankman-Fried 2022-12-08T05:00:00Z The regulator is trying to get a better sense of what FTX representatives told investors and whether any misrepresentations were made that would violate securities laws, according to the report. U.S. authorities asking FTX investors for information on firm and Bankman-Fried - Bloomberg News 2022-12-02T05:00:00Z The inquiry will look into Genesis's connection to such retail investors, and whether it or other industry participants might have violated securities laws, the report added. Crypto lender Genesis subject of probe by regulators - Barron's 2022-11-25T05:00:00Z Texas regulators are investigating celebrities who promoted FTX, including the quarterback Tom Brady and the basketball star Steph Curry, over potential violations of securities law. What Will Iger Do with ESPN and Hulu? 2022-11-22T05:00:00Z The dispute centered on whether Hong's tips met the law's definition of "covered judicial or administrative action brought by the commission under the securities laws." U.S. Supreme Court rebuffs RBS ex-banker's whistleblower award bid 2022-11-21T05:00:00Z In meetings, staff members have pointed out the difficulty of extending federal securities law to cover crypto exchanges, one person said. Inside a Crypto Nemesis’ Campaign to Rein In the Industry 2022-11-21T05:00:00Z There are also media reports claiming federal prosecutors in New York are investigating allegations that Mr. Trump’s media company broke federal securities law. Democrats profess confidence in beating Trump at the voting booth but still seek to block his run 2022-11-20T05:00:00Z “The civil suits will come before the criminal suits,” said Paul Foley, a securities law expert at the law firm Akerman. What Is Next for the FTX Fallout? 2022-11-19T05:00:00Z As a result, criminal and regulatory investigators began scrutinizing FTX for potentially violating securities law. “Possible to lose everything”: Experts say dramatic FTX collapse should be a warning to crypto bros 2022-11-18T05:00:00Z A person familiar with the SEC's thinking on crypto regulation said the agency believes crypto firms are illegally operating outside of U.S. securities laws and instead lean on other licenses that provide minimal consumer protection. EXCLUSIVE How FTX bought its way to become the 'most regulated' crypto exchange 2022-11-18T05:00:00Z Over decades, the courts have ruled that securities law applies to a wide variety of financial products, including contracts for the sale of chinchillas. Inside a Crypto Nemesis’ Campaign to Rein In the Industry 2022-11-21T05:00:00Z The EU ban was proposed in a draft law by the EU's executive European Commission updating the bloc's MiFID II securities law, with EU states and the European Parliament having final say. EU wrestles with Payment for Order Flow share trading rules 2022-11-17T05:00:00Z David Chase, a Florida securities lawyer, said a big advantage of filing the lawsuit in Florida is that the state’s laws provide greater protection to investors than certain federal securities laws. FTX investors sue Sam Bankman-Fried and celebrity endorsers 2022-11-16T05:00:00Z The investigations likely center on the possibility that the firm may have used customers’ deposits to fund bets at Bankman-Fried’s hedge fund, Alameda Research, a violation of U.S. securities law. Sam Bankman-Fried’s downfall sends shockwaves through crypto 2022-11-13T05:00:00Z SEC Chairman Gary Gensler told CNBC’s “Squawk Box” on Thursday morning that “investors need better protection in this space” and that the crypto sector has been “significantly noncompliant” with securities laws already on the books. FTX chief Sam Bankman-Fried resigns as firm files for bankruptcy 2022-11-11T05:00:00Z Securities and Exchange Commission for potential securities law violations, according to an unverified Bloomberg reporter tweet. FTX scrambles for funds as regulators take action 2022-11-11T05:00:00Z The fund also agreed to an order barring it from future violations of U.S. securities law. Infinity Q fund settles with U.S. regulator over asset inflation 2022-11-10T05:00:00Z “It’s a very favorable pro-plaintiff statutory provision to sue under,” Chase said, explaining that federal securities laws also have a higher burden of proof. FTX investors sue Sam Bankman-Fried and celebrity endorsers 2022-11-16T05:00:00Z The markets regulator was examining whether the platform had followed securities laws about keeping customer assets separate and whether it had traded against customers. Binance walks away from FTX crypto exchange bailout 2022-11-09T05:00:00Z Investors alleged multiple federal securities law violations, including that executives made “materially false and misleading statements” and that the company failed to disclose key information to investors. Paramount, Moonves to settle cases following sex misconduct scandal 2022-11-02T04:00:00Z Musk's attorneys have asked the court to dismiss the lawsuit, arguing it is barred by federal securities law. Factbox: Elon Musk ends Twitter fight but faces other legal headaches 2022-10-28T04:00:00Z Under the new rules, companies will have to recover compensation in excess of what the executive concerned should have received in the event the companies' financials are restated due to "material noncompliance" with securities laws. U.S. SEC adopts executive compensation clawback rules 2022-10-26T04:00:00Z For nearly a year, regulators have been examining whether a proposed merger involving the social media company backed by former President Donald J. Trump broke securities laws. SPAC Tied to Trump Media Says Early Talks Were Not ‘Substantive’ 2022-10-25T04:00:00Z “This case is a textbook example of a plaintiff trying to spin a company’s reduction of its annual revenue guidance into a violation of the federal securities laws,” they told the U.S. JD Vance’s firm invested in food company now facing lawsuits 2022-10-21T04:00:00Z The documents set out the latest compromises among EU states on reforming the bloc's "MiFID" securities law to catch up with advances in trading technology and practices in markets. EU proposes matching UK move to boost 'dark' share trading, documents show 2022-10-21T04:00:00Z Experts in securities law said in interviews that the firings are certain to draw notice from the SEC. ExxonMobil ordered to reinstate fired whistleblowers who alleged fraud 2022-10-06T04:00:00Z "The firms admitted the facts...acknowledged that their conduct violated recordkeeping provisions of the federal securities laws... and have begun implementing improvements to their compliance policies and procedures to settle these matters," the SEC said. U.S. fines 16 Wall Street firms $1.1 billion over record-keeping failures 2022-09-27T04:00:00Z The New York Times reported in October 2021 that Digital World might have violated securities laws by discussing a possible merger with Trump Media before going public. SPAC Tied to Trump Media Says Early Talks Were Not ‘Substantive’ 2022-10-25T04:00:00Z The court found the arrangement was legally equivalent to a stock sale, and Howey violated securities law by not registering it with the SEC. How state regulators supplanted the feds in policing crypto markets 2022-09-20T04:00:00Z It is a violation of federal securities law to sell bonds or stocks while providing investors with misleading information that might be germane to their decision to invest. Boeing Reaches $200 Million Settlement With Regulators Over Its 737 Max 2022-09-22T04:00:00Z Securities and Exchange Commission filed a civil complaint charging McDonald and Hercules with violations of federal securities law. Ex-California investment company head charged with fraud 2022-09-21T04:00:00Z An early investor sued DWAC, alleging violations of securities law, and it’s not entirely clear who is still on the company’s board. Truth Social is strapped for cash and struggling to find new users 2022-08-30T04:00:00Z Musk alleges that Twitter committed fraud, breach of contract and violation of a securities law in Texas, where Musk lives. Elon Musk sells $7B in Tesla shares ahead of Twitter fight 2022-08-10T04:00:00Z To be sure, the securities laws allow Musk to change his mind and to play hardball in negotiations. Analysis: Why Elon Musk's fight with Twitter could draw further SEC scrutiny 2022-07-14T04:00:00Z Last year, blockchain company Block.one agreed to pay $27.5 million to settle token holders' lawsuit alleging it had violated securities law. Explainer: Can crypto holders recoup losses in court? 2022-06-24T04:00:00Z The company is facing questions from securities law enforcers in five states while scrambling to remain solvent. Tracking Fear on Wall Street 2022-06-17T04:00:00Z "The role of these information providers today raises important questions under the securities laws as to when they are providing investment advice rather than merely information," U.S. U.S. SEC seeks data from index providers over role in investment decisions 2022-06-16T04:00:00Z Ironically, Paxton himself cannot buy a gun under federal law, because he has been under indictment since 2015 for breaking state securities law. Ken Paxton, Texas attorney general fighting gun legislation, on Uvalde deaths: “God has a plan” 2022-06-14T04:00:00Z "Binance U.S. profits from every trade, and therefore has a stark incentive to sell cryptoassets irrespective of their compliance with the securities laws," Lockhart wrote in his lawsuit, filed in San Francisco federal court. Binance U.S. exchange sued by crypto investor over stablecoin collapse 2022-06-13T04:00:00Z Musk did not deny the agency’s allegations that he had violated securities laws. Column: Why don't regulators stop Elon Musk from breaking the law? 2022-05-18T04:00:00Z Spirit declined to comment on JetBlue’s offer, citing prohibitions under securities laws. JetBlue launches another bid for Spirit Airlines 2022-05-16T04:00:00Z And securities law experts said Musk backing out at this stage could result in a protracted and messy legal battle, leaving the tech mogul incurring costs well over the penalty for walking away. Elon Musk says Twitter deal is on hold, putting bid on shaky ground 2022-05-13T04:00:00Z In a traditional IPO, underwriters can be held responsible under securities law for any misleading forecasts, projections or other statements made to investors. Special Report-How Wall Street banks made a killing on SPAC craze 2022-05-11T04:00:00Z Scott Becker, who is cooperating with U.S. prosecutors in a related criminal case against Hwang, agreed not to commit further violations of securities laws. Archegos risk chief resolves some U.S. SEC claims 2022-05-04T04:00:00Z The total number of staff will rise from 30 to 50, increasing the agency’s ability to prosecute securities law violations related to new crypto products. SEC nearly doubles crypto enforcement unit, citing fraud risk in booming market 2022-05-03T04:00:00Z Elon Musk has used Twitter to violate securities law and smear his critics. Column: Is Elon Musk already looking to bail out of his Twitter deal? 2022-04-28T04:00:00Z The SEC's complaint, filed in federal court in New York, charged Vale with violating anti-fraud and reporting provisions of U.S. securities laws. U.S. securities regulator charges Brazil's Vale over 2019 dam disaster 2022-04-28T04:00:00Z Here’s a look at some of the basics of corporate takeovers, as explained by experts in securities law and corporate governance. Buying Twitter is complicated. Here’s what Elon Musk faces 2022-04-19T04:00:00Z After Musk’s 2018 tweets, the SEC filed a complaint against him alleging securities law violations. Tesla stockholders ask judge to silence Musk in fraud case 2022-04-17T04:00:00Z The lawsuit alleges that by March 14, Musk’s stake in Twitter had reached a 5% threshold that required him to publicly disclose his holdings under U.S. securities law by March 24. Elon Musk accused of breaking law while buying Twitter stock 2022-04-12T04:00:00Z That is why you have all the securities laws based around disclosure and fraud. Chris Dixon thinks web3 is the future of the internet — is it? 2022-04-12T04:00:00Z The state proposals include bills to exempt cryptocurrency from securities laws intended to protect investors from fraud. Crypto Industry Helps Write, and Pass, Its Own Agenda in State Capitols 2022-04-10T04:00:00Z US securities law requires disclosure within 10 days of acquiring 5% of a company. What are Elon Musk's plans for Twitter? 2022-04-05T04:00:00Z The SEC said last month it has told Musk’s and Tesla’s counsel that staff are conducting an investigation relating to potential federal securities law violations. Analysis: Tesla's Musk may add to SEC ire with late report about Twitter stake 2022-04-05T04:00:00Z District Judge Jesse Furman in Manhattan said investors in the proposed class action could not prove they suffered harm because of the exchanges' actions, which they said violated federal securities law. U.S. exchanges defeat high-frequency trading lawsuit 2022-03-28T04:00:00Z There is no way for them to take power back, and there is no asymmetric information, such that they violate securities laws. Chris Dixon thinks web3 is the future of the internet — is it? 2022-04-12T04:00:00Z In Mississippi, Josh Harkins, a Republican state senator, proposed several crypto bills this year, including one exempting digital tokens from securities laws. Crypto Industry Helps Write, and Pass, Its Own Agenda in State Capitols 2022-04-10T04:00:00Z “Courts have long recognized that ‘Congress has vested the SEC with broad authority to conduct investigations into possible violations of federal securities laws and to demand production of evidence relevant to such investigations,’” Armstrong wrote. SEC claims authority to subpoena Elon Musk about tweets 2022-03-22T04:00:00Z Pritchard said the SEC could "tell a court that he's a recidivist violator of the securities laws and that he needs to be dealt with harshly." Analysis: Tesla's Musk may add to SEC ire with late report about Twitter stake 2022-04-05T04:00:00Z “Courts have long recognized that ‘congress has vested the SEC with broad authority to conduct investigations into possible violations of federal securities laws and to demand production of evidence relevant to such investigations,’” Armstrong wrote. SEC claims authority to subpoena Elon Musk about tweets 2022-03-22T04:00:00Z I think the fortunate thing is that securities laws and the ethos of Web3 happen to align, and that they both want highly decentralized networks. Chris Dixon thinks web3 is the future of the internet — is it? 2022-04-12T04:00:00Z The 36-year-old securities law specialist has become an increasingly influential figure in the hot debate over activist short selling since publishing a 2018 analysis of trading data that suggested some players were manipulating the market. How a Columbia professor became the scourge of activist short sellers 2022-03-18T04:00:00Z For now, federal regulators have little clear legal authority to oversee these entities, unless a DAO appears to be violating securities laws. Reality Intrudes on a Utopian Crypto Vision 2022-03-08T05:00:00Z U.S. securities law requires disclosure within 10 days of acquiring 5% of a company, which in Musk's case would be March 24. Analysis: Tesla's Musk may add to SEC ire with late report about Twitter stake 2022-04-05T04:00:00Z The SEC suit filed in federal court in Manhattan accuses the siblings of violating federal securities laws and seeks unspecified civil penalties and restitution. Federal regulators accuse 2 siblings in $124M crypto scam 2022-03-08T05:00:00Z In an email, his lawyer Jacob Walker said federal securities laws provide "a very strong remedy" for investors when companies omit key facts from IPO materials. Rivian is sued for allegedly misleading investors about electric vehicle prices 2022-03-08T05:00:00Z The case record shows Shkreli has “either an inability or an unwillingness to truly recognize the ‘wrongfulness’ of his egregious violations of securities laws,” Matsumoto said. ‘Pharma Bro’ Martin Shkreli banned for life from public-company roles 2022-02-24T05:00:00Z It was registered in Wyoming, which passed the first state law formally recognizing DAOs and exempting crypto tokens from state securities laws. Reality Intrudes on a Utopian Crypto Vision 2022-03-08T05:00:00Z "I'm sending 52 legal reforms to congress to remove red tape, reduce bureaucracy, create tax incentives, citizenship, in exchange for investments, new securities laws, stability contracts, etc," Bukele said on Twitter. Bukele to propose granting Salvadoran citizenship to foreign investors 2022-02-20T05:00:00Z Regulators in Alabama, Kentucky, Texas and Vermont also accused the company of violating state securities laws. Crypto lending company BlockFi to pay $100 million fine over charges it broke securities laws 2022-02-14T05:00:00Z The charges come as U.S. regulators, worried about investor protections and systemic risks, are cracking down on the booming crypto industry by forcing companies in the space to comply with existing U.S. securities laws. Crypto lending firm BlockFi to pay $100 mln to settle U.S. SEC, state charges 2022-02-14T05:00:00Z But in April, a court dismissed a lawsuit alleging Gill violated securities laws by inciting the rally in GameStop and causing “huge losses” for investors. A year on, GameStop champion Roaring Kitty is quiet -- yet much richer 2022-02-02T05:00:00Z Robinhood still faces a proposed class-action lawsuit in Florida that consolidates claims from around the country accusing it of antitrust and securities law violations. Robinhood faces lingering issues a year after meme-stock mania. 2022-01-27T05:00:00Z Joshua Mitts, a securities law professor at Columbia Law School, said removing shares from the market makes them more susceptible to wild price swings, which could end up hurting the retail investors. Analysis: 'Hands off': Why some U.S. investors are pulling meme stocks from brokerages 2021-12-22T05:00:00Z The SEC accused Nikola of violating US securities law with numerous misleading statements made in 2020 about the company’s products and its future financial prospects. Nikola agrees to pay $125 million to settle allegations it defrauded investors 2021-12-21T05:00:00Z The offering was a violation of securities laws because the company failed to register it with the SEC. Crypto lending firm BlockFi to pay $100 mln to settle U.S. SEC, state charges 2022-02-14T05:00:00Z Nikola Corp. violated the antifraud and disclosure control provisions of the federal securities laws, the Securities and Exchange Commission said Tuesday. EV start-up Nikola settles with US for $125 million 2021-12-21T05:00:00Z "The firm's actions meaningfully impacted the SEC's ability to investigate potential violations of the federal securities laws," the SEC said. J.P.Morgan Securities to pay $125 mln to settle SEC charges on record-keeping lapses 2021-12-17T05:00:00Z They provide Chinese corporations with a way to evade the intent of Chinese securities laws, while U.S. regulators say they lack transparency for investors. With Didi Leaving Wall Street, Trading Edges Closer to Beijing’s Thumb 2021-12-13T05:00:00Z The Times said that, in doing so, the companies may have skirted securities laws and required disclosures. Rep. Devin Nunes to leave Congress to become Trump media company CEO 2021-12-06T05:00:00Z The SEC was requested by Democratic Senator Elizabeth Warren last month, to investigate the proposed merger of the two firms for potential violations of securities laws. Wall Street watchdogs probe Trump media firm deal 2021-12-06T05:00:00Z Last month Democratic Senator Elizabeth Warren asked the Securities and Exchange Commission to investigate the planned merger for potential violations of securities laws. Trump social media firm raises $1bn from investors 2021-12-05T05:00:00Z Senator Elizabeth Warren asked Securities and Exchange Commission Chairman Gary Gensler last month to investigate the planned merger for potential violations of securities laws around disclosure. Exclusive: Trump's social media venture seeks $1 billion raise - sources 2021-12-01T05:00:00Z Some in the group had initially hoped to make participants fractional owners of the Constitution, but that plan fell apart, possibly because it could run afoul of securities laws. They Love Crypto. They’re Trying to Buy the Constitution. 2021-11-17T05:00:00Z The lawsuit alleges the company violated federal securities laws by misleading the public about how its algorithms affect minors in an effort to boost stock prices. Ohio attorney general sues Meta over Facebook Papers revelations 2021-11-16T05:00:00Z The system “purchased shares of Facebook Class A common stock at artificially inflated prices” in 2021 and “suffered damages as a result of the violations of the federal securities laws alleged.” Ohio suing Facebook, says it misled the public about the effect its products have on children 2021-11-16T05:00:00Z This allows the agency “to obtain information necessary to detect, investigate, and deter fraud and market manipulation, as well as violations of exchange rules and applicable federal securities laws,” the SEC said in its order. U.S. SEC disapproves proposed rule to list, trade shares of VanEck bitcoin trust 2021-11-12T05:00:00Z When it comes to the securities law, time will tell. Explainer: Five legal questions raised by Elon Musk's unorthodox share sales 2021-11-11T05:00:00Z Nonetheless, James Cox, a professor at Duke University law school and an expert in securities laws, said it might be hard for Mr. Musk to go back on his Twitter pledge. Behind Elon Musk’s Twitter Poll Is a Tax Bill Coming Due 2021-11-08T05:00:00Z Don Langevoort, a securities law and corporate governance expert with Georgetown University Law School, said he thinks Musk’s weekend tweet is unlikely to draw SEC action, given that a Twitter poll isn’t binding. Tesla stock slides after Elon Musk asks Twitter if he should sell 10 percent of his stake 2021-11-08T05:00:00Z The suit alleges that between April 29th and October 21st, Facebook and top executives violated federal securities law when they intentionally misled the public and deceived shareholders about how its products can negatively affect children. Ohio suing Facebook, says it misled the public about the effect its products have on children 2021-11-16T05:00:00Z "The right to put proposals in front of other shareholders for a vote is an important part of the securities laws," Gensler said in a statement. U.S. SEC says it will consider social issues when reviewing shareholder proposals 2021-11-03T04:00:00Z “Now there is a political approach and movement to use securities law more broadly.” Facebook Faces a Public Relations Crisis. What About a Legal One? 2021-10-26T04:00:00Z “In the securities law, the problem is this could be seen as a misrepresentation that was meant to mislead if another shareholder sold on Musk’s tweet.” Behind Elon Musk’s Twitter Poll Is a Tax Bill Coming Due 2021-11-08T05:00:00Z He reasoned the SEC could safely oversee such funds, since they fall under an existing securities law that “provides significant investor protections.” Bitcoin-based fund’s expected launch will make it easier for investors to buy a stake in crypto 2021-10-19T04:00:00Z “The answer to that question is important, because that might change the nature of the platform’s obligations under the securities laws.” S.E.C. Describes the GameStop Frenzy, but Not What to Do About It 2021-10-18T04:00:00Z Mr. Elliott came to Washington in 1967 and began his career at a securities law firm helping draft the legislation and regulations of the federally sponsored mortgage giant Freddie Mac. Robert Elliott, who championed fair housing and refugee resettlement, dies at 80 2021-10-06T04:00:00Z But Facebook whistleblower Frances Haugen’s strategy of turning to the Securities and Exchange Commission may represent the most potent threat to the company, experts in securities law said. Facebook is drawing a bipartisan backlash from Congress, but the SEC could deliver a tougher blow 2021-10-08T04:00:00Z The Securities and Exchange Commission would become involved if civil securities laws were broken. Pressure builds on Fed, Powell over stock trading among top officials as independent probe is underway 2021-10-06T04:00:00Z According to the SEC, those protections largely mean a company “may not discharge, demote, suspend, harass, or in any way discriminate” against an employee who reports conduct they “reasonably believed violated the federal securities laws.” Facebook whistleblower Frances Haugen tells lawmakers that meaningful reform is necessary ‘for our common good’ 2021-10-05T04:00:00Z District Judge Louis Stanton in Manhattan dismissed the lawsuit in January, citing a 2010 Supreme Court precedent that limited the extraterritorial reach of federal securities laws. HelbizCoin cryptocurrency lawsuit is revived 2021-10-04T04:00:00Z The position “concerns enforcement action only and does not represent a legal conclusion with respect to the applicability of statutory or regulatory provisions of the securities laws,” the agency said. U.S. SEC delays certain assets from enforcement actions under new disclosure rule 2021-09-24T04:00:00Z The SEC is likely to give those allegations serious weight, experts in securities law said. Facebook is drawing a bipartisan backlash from Congress, but the SEC could deliver a tougher blow 2021-10-08T04:00:00Z “Frankly, at this time, it’s more like the Wild West or the old world of ‘buyer beware’ that existed before the securities laws were enacted,” Mr. Gensler testified. Regulators Racing Toward First Major Rules on Cryptocurrency 2021-09-23T04:00:00Z He added that federal securities laws “prohibit deceptive conduct and material misrepresentations in connection with the purchase or sale of securities.” App Annie will pay $10 million to settle a fraud investigation with the SEC 2021-09-15T04:00:00Z It also said investors could amend their complaint to show that one plaintiff was a Texas citizen who bought HelbizCoin domestically, supporting their federal securities law claims. HelbizCoin cryptocurrency lawsuit is revived 2021-10-04T04:00:00Z The company, in a regulatory filing, said the Securities and Exchange Commission notified it on Sept. 1 that its Lend product could violate securities laws. Coinbase says the S.E.C. has threatened to sue it over a plan to pay interest. 2021-09-08T04:00:00Z Some securities law experts countered that the law is clear on that point. Coinbase CEO says SEC has threatened to sue over crypto lending program 2021-09-08T04:00:00Z Certain mischaracterizations were so bad that the regulator signaled some firms could be violating securities laws. SEC cracking down on so-called sustainable assets with green or socially conscious labels 2021-09-07T04:00:00Z BlockFi has already been targeted by regulators in five states that have accused it of violating local securities laws. Crypto’s Rapid Move Into Banking Elicits Alarm in Washington 2021-09-05T04:00:00Z “It has a very chilling effect on all responsible capital markets, participants who are trying their best to do things in compliance with the securities laws,” Ellenoff said. Exclusive-Lawyers behind Ackman's retreat target dozens more SPACs 2021-08-26T04:00:00Z “He’s become a real giant killer,” said Frank Partnoy, a former derivatives trader who is now a professor of securities law at the University of California, Berkeley, School of Law. A Skeptical Stock Analyst Wins Big by Seeking Out Frauds 2021-08-16T04:00:00Z They accuse the company of gross negligence and violations of antitrust and securities laws. Robinhood’s Unfinished Business 2021-08-07T04:00:00Z Some question whether Grewal has enough securities law expertise to take on big, complex cases. Wall Street enforcement to get tougher as SEC's new top cop gets to work 2021-07-26T04:00:00Z A cease and desist order from New Jersey's Bureau of Securities said BlockFi's accounts were not registered with that office or exempt from registration, and their sale violated New Jersey securities laws. New Jersey orders BlockFi cryptocurrency firm to stop offering interest-bearing accounts 2021-07-20T04:00:00Z “In addition, we will act to protect retail investors if violations of federal securities laws are found.” U.S. SEC says observing the market as "meme stocks" rally 2021-06-07T04:00:00Z BitConnect allegedly organized a global network of promoters through referral commissions and used the network to sell the securities without registering them as required by federal securities laws, the SEC said. U.S. SEC charges five individuals involved in BitConnect lending program 2021-05-28T04:00:00Z Securities and Exchange Commission, which charged Under Armour with violating securities laws. Under Armour founder sold $138 million in stock during time period company allegedly misled investors about slowing sales 2021-05-13T04:00:00Z “The examinations and inspection systems and programs have all been enhanced,” says James Fanto, a professor at Brooklyn Law School who specializes in banking and securities law. EXPLAINER: Charmed by Madoff, SEC later tightened its rules 2021-04-15T04:00:00Z "Our rules are simple: if you sell securities in New Jersey, you need to comply with New Jersey's securities laws," Bruck said in a statement. New Jersey orders BlockFi cryptocurrency firm to stop offering interest-bearing accounts 2021-07-20T04:00:00Z And he concludes his statement by suggesting a major rethink of how the “full panoply” of securities laws applies to SPACs, which could upend the blank-check business model. SEC issues statement putting SPACs on notice 2021-04-09T04:00:00Z A spokesperson for the European Commission said it uses an allocation policy in line with EU securities law. In squeezed euro debt sales, governments curb inflated hedge fund demand 2021-04-01T04:00:00Z The SEC alleged that Under Armour violated securities law when it failed to disclose this practice to investors. Under Armour founder sold $138 million in stock during time period company allegedly misled investors about slowing sales 2021-05-13T04:00:00Z The SEC examined Peabody’s disclosures following a New York state investigation launched in 2013 into whether the coal company’s public statements on climate-related risks violated state securities laws, according to a 2018 congressional report. Factbox: The U.S. securities regulator's forays into climate change enforcement 2021-03-17T04:00:00Z Vivendi was also found liable for violating federal securities laws in separate U.S. legal proceedings involving the same period. Ex-shareholders demand $1 billion from Vivendi Universal 2021-03-09T05:00:00Z As a decentralized asset created by users, Bitcoin is likely exempt from securities laws. Analysis: Biden's SEC chair nominee signals more regulation for cryptocurrencies 2021-03-03T05:00:00Z Last month, Gill was sued for allegedly violating securities laws and causing “huge losses” for investors. 'Roaring Kitty' no longer has financial broker license: filing 2021-03-01T05:00:00Z Under Brazilian securities law, listed companies must communicate important information via securities filings, which did not happen when the president decided to replace Petrobras CEO. Brazil market regulator CVM opens investigation into Petrobras CEO change announcement 2021-02-22T05:00:00Z This violated securities laws against manipulating the market, according to the lawsuit filed by Christian Iovin, a Washington state resident who purchased GameStop stock options. 'Roaring Kitty' GameStop investor hit with lawsuit 2021-02-17T05:00:00Z James’ lawsuit in Manhattan Supreme Court alleged violations of the Martin Act, a New York state securities law. New York sues to shut down 'fraudulent' Coinseed crypto platform, SEC also sues 2021-02-17T05:00:00Z Previous SEC chief Jay Clayton took the view that most coin offerings, a cryptocurrency fundraising mechanism, appeared to run afoul of securities laws. Analysis: Biden's SEC chair nominee signals more regulation for cryptocurrencies 2021-03-03T05:00:00Z In December, regulators in Massachusetts filed an administrative complaint against the company, alleging that Robinhood violated securities laws by aggressively marketing itself to Massachusetts investors without regard for the best interest of its customers. Family of novice investor who killed himself sue Robinhood 2021-02-08T05:00:00Z Proving manipulation may be tough due to ambiguous U.S. securities laws, said Joseph Grundfest, a professor at Stanford Law and a former SEC commissioner. In GameStop saga, U.S. regulator examining all aspects and parties: sources 2021-02-04T05:00:00Z But the SEC’s enforcement division remains heavily populated by securities law experts and lacks the data science specialists needed to combat market manipulation cases executed via social media, Mitts said. GameStop frenzy leaves behind a mess for Wall Street regulators 2021-02-03T05:00:00Z "We will act to protect retail investors when the facts demonstrate abusive or manipulative trading activity that is prohibited by the federal securities laws," the SEC said in a statement. Florida man flies 'Buy GameStock Stock' banner over Miami amid trading frenzy 2021-01-29T05:00:00Z The SEC went on to say that “we will act to protect retail investors when the facts demonstrate abusive or manipulative trading activity that is prohibited by the federal securities laws.” GameStop stock roars back after Robinhood lifts trading freeze 2021-01-29T05:00:00Z Federal securities law prohibits market participants from misrepresenting a company’s prospects to artificially affect its share price. GameStop, AMC shares surge after Reddit users lead chaotic revolt against big Wall Street funds 2021-01-27T05:00:00Z He is wanted on charges of breach of trust in misusing company assets for personal gain, and violating securities laws in not fully disclosing his compensation. Turkish pilots, official face 12 years jail for Ghosn flight 2021-01-20T05:00:00Z He is wanted on charges of breach of trust, in misusing company assets for personal gain, and violating securities laws in not fully disclosing his compensation. Ex-Nissan exec says automaker sought to hide Ghosn’s pay 2021-01-12T05:00:00Z "Market participants should be careful to avoid such activity. Likewise, issuers must ensure compliance with the federal securities laws for any contemplated offers or sales of their own securities." Florida man flies 'Buy GameStock Stock' banner over Miami amid trading frenzy 2021-01-29T05:00:00Z District Court in New York claim Northern Dynasty Minerals violated federal securities law when project executives did not fully provide information about the project, The Anchorage Daily News reported Friday. Investors sue parent company behind gold mine in Alaska 2021-01-02T05:00:00Z To establish manipulation that runs afoul of securities laws, Angel said regulators would need to prove traders engaged in “an intentional act to push a price away from its fundamental value to seek a profit.” GameStop, AMC shares surge after Reddit users lead chaotic revolt against big Wall Street funds 2021-01-27T05:00:00Z That weakness in securities law, according to good-governance experts, deprives the public of an independent source of information about the sale of Slaoui's stake in the company. How pharma money colors Operation Warp Speed’s quest to defeat COVID 2020-12-01T05:00:00Z “All of these questions about the motivations behind our members of Congress and their personal securities trading could be alleviated if Congress passed a law that limited investments,” said Nagy, who specializes in securities law. With US in COVID-19 panic, Sen. Perdue saw stock opportunity 2020-11-25T05:00:00Z He was arrested in November 2018 on charges of breach of trust, misusing company assets for personal gain, and violating securities laws in not fully disclosing his compensation. World Digest: Nov. 23, 2020 2020-11-23T05:00:00Z He was arrested in November 2018 on charges of breach of trust, in misusing company assets for personal gain, and violating securities laws in not fully disclosing his compensation. Rights experts: Japan was wrong to detain Carlos Ghosn 2020-11-23T05:00:00Z Securities and Exchange Commission “issued an order directing an investigation of possible securities laws violations by First Energy,” the filing said. FirstEnergy: Ohio regulator’s firm got $4M consulting fee 2020-11-19T05:00:00Z But legal experts say the briefings by administration officials are a very different situation, and it is not apparent that any of the communications about the Hoover briefings violated securities laws. As coronavirus spread early on, reports of Trump administration briefings fueled sell-off 2020-10-14T04:00:00Z Securities and Exchange Commission staff is considering recommending a civil action against the company for possible violations of the securities laws. GE receives Wells notice from SEC 2020-10-06T04:00:00Z The SEC’s complaint, filed in federal court in Seattle, charges all three Bohras with violating anti-fraud provisions of the federal securities laws. U.S. charges former Amazon manager and her family members with insider trading 2020-09-28T04:00:00Z All three agreed to pay the fine and to stop violating securities laws. BMW fined $18 million for inflating monthly US sales figures 2020-09-24T04:00:00Z PepsiCo settled a Securities and Exchange Commission case, agreeing not to violate federal securities laws going forward, and Mr. Kendall emerged from the episode with his reputation intact. Donald Kendall, who built PepsiCo into a soda and snack-food giant, dies at 99 2020-09-20T04:00:00Z In a statement, Guo said the company followed U.S. securities laws and was guided by legal counsel as it raised money. Bannon joined forces with Chinese billionaire whose case has divided Trump’s allies 2020-09-13T04:00:00Z If that’s true it means the revenues are overstated, which would be a securities law violation, which may give rise to a felony, which would have jail time associated with it. Roger McNamee: ‘Facebook is a threat to whatever remains of democracy in the US' 2020-07-26T04:00:00Z Governance concerns – such as watching Musk’s Twitter feed for securities law violations or potential libels – are also a big problem for a company that is so intimately linked with the personality of its billionaire boss. Can Tesla justify a $300bn valuation? 2020-07-18T04:00:00Z Federal securities law requires officers, directors and large shareholders of publicly traded companies to report their trades in company stock to the SEC. A coronavirus vaccine rooted in a government partnership is fueling financial rewards for company executives 2020-07-02T04:00:00Z Instead, the complaint focuses on federal securities law, arguing that Facebook’s failure to tell shareholders about the extent of illegal activity on its platform is a violation of its fiduciary duty. Whistleblowers say Facebook has not warned investors about illegal activity, in new SEC complaint 2020-05-27T04:00:00Z Associate Professor Joshua Mitts, who teaches corporate and securities law, echoed his colleague's concerns about Kavanaugh's temperament during his Senate confirmation hearings. As Biden gives commencement address, Columbia Law faculty who opposed Kavanaugh downplay Tara Reade accusations 2020-05-20T04:00:00Z "Ultimately, some time behind bars may be good for him," said Edwards, the securities law expert. Jacob Wohl tried to smear Tony Fauci and Elizabeth Warren — now he faces legal trouble in Arizona 2020-05-15T04:00:00Z "The complaint appears fairly bare-bones and it's hard to comment on specifics," Ben Edwards, professor of securities law and director of the investor protection clinic at the University of Nevada, Las Vegas, told Salon. Right-wing smear artist Jacob Wohl has a long career of sleaze. Will he finally go to prison? 2020-05-11T04:00:00Z After pushback, McCoughtry then backtracked, tweeting that she is “obviously not an expert on federal securities laws” and she “wasn’t trying to weigh in on that aspect of Kelly’s life.” Kelly Loeffler: the WNBA owner against everything the league stands for 2020-04-07T04:00:00Z SEC or Justice Department enforcement of the federal securities laws is currently the most powerful safeguard against congressional insider trading. Perspective | Five myths about insider trading 2020-04-03T04:00:00Z "That's fundamental to our securities laws and that applies to government employees, public officials, etc., and the Stock Act codifies that." Burr vows to cooperate with any stock sale ‘inquiry’ amid reported DOJ probe 2020-03-30T04:00:00Z Under the terms of the settlement, announced Friday, David and Hologram must pay a civil penalty of $122,419 to the SEC and are barred from violating federal securities laws. Self-appointed ambassador for 'wronged men' of #MeToo, Alki David, settles with SEC in fraud suit 2020-03-23T04:00:00Z Trump also announced on Tuesday that he pardoned financier Michael Milken, who pleaded guilty for violating U.S. securities laws. Blago holds court: Ex-gov gives dramatic account of life behind bars, declares he’s a ‘Trump-o-crat’ 2020-02-19T05:00:00Z He served two year s in prison in the early 1990s after pleading guilty to violating U.S. securities laws. 11 big and not-so-big names granted clemency by Trump 2020-02-18T05:00:00Z Securities and Exchange Commission with civil violations of federal securities law, The Seattle Times reported Sunday. Washington cannabis farm focus of $4.8M Ponzi scheme case 2020-02-03T05:00:00Z Malaysia’s Securities Commission said on Sunday it would also examine whether AirAsia broke securities laws. AirAsia CEO Fernandes and chairman step aside as Airbus bribery allegations probed 2020-02-03T05:00:00Z The SEC complaint filed Jan. 21 in federal court in Santa Ana, California, charges Russell and Griffithe with civil violations of federal securities law and seeks return of “ill-gotten gains.” Federal complaint: Pot farm used in Ponzi scheme 2020-02-02T05:00:00Z It charges Russell and Griffithe with civil violations of federal securities law and seeks the return of “all ill-gotten gains.” Cannabis farm near Anacortes was center of alleged $4.85 million Ponzi scheme 2020-02-02T05:00:00Z “The Securities Commission Malaysia will examine the allegations and review all available evidence to determine if there is any breach of securities laws,” Syed Zaid Albar, the regulator’s chairman, said in a statement. Malaysia regulator to probe if AirAsia broke rules in Airbus deals 2020-02-02T05:00:00Z Pennsylvania banking regulators previously filed a civil complaint against the dairy, Riehl and its other owners, alleging 370 violations of state securities law. Prosecutors: Owner of shuttered organic dairy ran $60M fraud 2020-01-31T05:00:00Z United States securities laws require publicly traded companies to provide detailed explanations of their taxes in their annual reports. Why the Impact of the Trump Taxes Remains Partly Hidden 2019-12-30T05:00:00Z As a result, although many companies cite ransomware in filings as a risk, they often don’t report attacks or describe them in vague terms, according to experts in securities law and cybersecurity. Like Voldemort, ransomware is too scary to be named 2019-12-29T05:00:00Z But even with that relatively low bar, Ostrager found New York’s allegations “to be without merit” and the use of the state’s securities law to be a stretch in this case. ExxonMobil prevails over New York in high-profile climate fraud case 2019-12-10T05:00:00Z U.S. regulators are investigating whether Barclays violated securities laws after a former trader at the firm raised concerns about its marketing practices for certain bonds, according to legal filings. U.S. Navy reaches agreement with General Dynamics to buy new Virginia-class attack submarines 2019-11-04T05:00:00Z Three Goldman subsidiaries and two former executives were charged in December for alleged breaches of securities laws including making false, misleading statements to investors. Prosecutors seek court change for Goldman Sachs’s 1MDB trial 2019-10-21T04:00:00Z Montgomery agreed to a judgment that enjoins him from future violations of securities law, the SEC said in a statement. Ex-U.S. biotech executive fined for lying to auditors, charges dropped against CFO: SEC 2019-10-17T04:00:00Z That notice required that entities seeking to participate in the marketplace for digital asset securities comply with the relevant securities laws, most notably the customer protection rule. Digital assets subject to money-laundering, disclosure laws: U.S. regulators 2019-10-11T04:00:00Z “When he had to get on calls with investors on a publicly traded company, they had to worry that he would break securities laws and lie about the company’s profits,” O’Brien said. Trump’s calls with foreign leaders have long worried aides, leaving some ‘genuinely horrified’ 2019-10-04T04:00:00Z Ghosn and Nissan Motor Co. settled the charges without admitting or denying the SEC’s allegations, but agreed to refrain from future anti-fraud violations of the securities laws. Nissan paying $15M, Ghosn $1M to settle SEC fraud charges 2019-09-23T04:00:00Z Securities and Exchange Commission to resolve its investigation of alleged violations of U.S. securities laws, Ghosn’s lawyers said in a statement on Monday. Carlos Ghosn reached civil settlement with U.S.'s SEC: lawyers 2019-09-23T04:00:00Z For example, the study found that 4.1% of individuals accused of violating securities laws by the U.S. Execs who cheat on their spouses are twice as likely to cheat at work, study shows | Produced by Advertising Publications 2019-08-13T04:00:00Z The government in December filed criminal charges against Goldman Sachs and two former executives for breaches of securities laws including making false, misleading statements to investors. Malaysia charges 17 Goldman Sachs figures over 1MDB scandal 2019-08-08T04:00:00Z Caroline Crenshaw, who is currently an SEC attorney working in Jackson’s office, and Urska Velikonja, a securities law professor at Georgetown University Law Center, are among two candidates under consideration, the people said. Exclusive: Democrats consider a lawyer and a law professor for... 2019-08-03T04:00:00Z The SEC alleged that Facebook violated securities laws when it failed to disclose Cambridge Analytica’s unauthorized acquisition of user data to investors in 2015, when it first learned of the matter. Facebook's revenues soar despite $5.1bn in fines 2019-07-24T04:00:00Z The Securities and Exchange Commission charged Sugarman with multiple violations of securities laws in a civil complaint that seeks to fine him and recoup some $9 million. California Inc.: Black market for wildlife thrives on Facebook, Instagram 2019-07-15T04:00:00Z U.S. securities laws include a variety of automatic penalties that kick in when the SEC imposes certain punishments in fraud cases or requires a company to hire an independent compliance consultant. SEC to ease burden on companies that violate securities laws 2019-07-04T04:00:00Z Prosecutors countered in a filing that the securities law required no such instruction. Federal court to hear 'Pharma Bro' Martin Shkreli's appeal 2019-06-28T04:00:00Z Verret, an expert in corporate and securities law at George Mason University in Virginia. As legal glare turns to Trump, his faith in Supreme Court may be... 2019-06-19T04:00:00Z Kik, which provides a global chat platform under the same name, sold the “kin” tokens to investors without registering the offering under U.S. securities laws and deprived investors of information, the regulator said. U.S. SEC sues social media firm Kik for 'illegal' initial coin... 2019-06-04T04:00:00Z The exchanges were accused of violating federal securities law by developing and selling high-priced services to provide advantages to favored high-frequency trading customers, while concealing these services from ordinary investors. U.S. exchanges must face renewed high-frequency trading claims: judge 2019-05-29T04:00:00Z Waivers drew controversy after the financial crisis as it emerged that the Obama administration was granting repeated reprieves to big banks despite multiple settlements involving violations of securities laws. SEC to ease burden on companies that violate securities laws 2019-07-04T04:00:00Z The agency said the tweet, which sent the electric automaker’s share price up as much as 13.3%, violated securities laws. Tesla's Elon Musk reaches deal with SEC over Twitter use 2019-04-26T04:00:00Z Securities and Exchange Commission on Wednesday issued guidelines to help market participants determine whether a digital asset qualifies as a security under federal securities laws and needs to be registered with the regulator. U.S. SEC issues guidelines to help analyze crypto assets 2019-04-03T04:00:00Z I’m not sure any of us know when the Model Y will actually show up Is this a situation that securities law is equipped to handle, though? Elon Musk’s last two weeks have been a wild ride 2019-03-15T04:00:00Z At the same time, MTS consented to Securities and Exchange Commission findings that it violated anti-bribery provisions of the U.S. securities law. Russian mobile telecom company to pay U.S. $850 million for alleged... 2019-03-07T05:00:00Z Mr. Musk and Tesla reached the settlement with the S.E.C. after the commission accused Mr. Musk of violating securities law with a post on Twitter. Tesla Offers a $35,000 Model 3, as Elon Musk Long Promised 2019-02-28T05:00:00Z He was responsible for Apple’s compliance with securities laws and providing legal advice for the company’s S.E.C. filings and financial reporting. Former Senior Apple Lawyer Charged With Insider Trading 2019-02-13T05:00:00Z The Securities and Exchange Commission also charged two traders in California, one in Russia, and three in Ukraine, as well as two companies for violations of securities laws. US brings charges over SEC hack 2019-01-15T05:00:00Z Kelley’s own legal practice focuses on business, corporate and securities law. NYC lawyer arrested on sex assault charges from 4 years ago 2019-01-05T05:00:00Z “The SEC’s phone rings countless times a day for exactly that type of guidance,” said James Cox, a professor at Duke University who specializes in securities law. Extended shutdown of SEC could delay IPOs, ripple through market, experts warn 2019-01-03T05:00:00Z Dubow pointed out, along with many other securities law experts, that the funding-secured tweet presents an obvious example of an untrue statement that had material consequences for shareholders, a clear violation of SEC rules. Twitter restrictions on Elon Musk are set to take hold. But is Tesla willing to reel him in? 2018-12-27T05:00:00Z Attorney General Tommy Thomas said the government is seeking several billion dollars in fines from Goldman Sachs for breaches of securities laws that involved it making false and misleading statements to investors. Business Highlights 2018-12-17T05:00:00Z Weeks later the SEC announced that ether did not meet the criteria for a security, thus exempting certain transactions in the token from federal securities laws. U.S. derivatives regulator launches consultation on ether 2018-12-11T05:00:00Z Anti-fraud provisions of U.S. securities laws prohibit false statements and other conduct categorized as acts, devices, practices or schemes. U.S. Supreme Court appears reluctant to narrow securities laws 2018-12-03T05:00:00Z By keeping these payments secret, Mayweather violated federal securities laws that mandate disclosure in such instances. SEC fines Floyd Mayweather $600,000 over cryptocurrency promotions 2018-11-30T05:00:00Z The Securities and Exchange Commission recently stepped up punishment of companies that violated securities law with their offerings. 5 Reasons Cryptocurrency Prices Are Plunging Again 2018-11-21T05:00:00Z That’s because they are contractors, not regular employees, and federal securities law restricts private companies from issuing shares to such workers. Give Gig Economy Workers Equity? The S.E.C. Is Considering It 2018-11-06T05:00:00Z Federal securities laws do not punish companies for failing to achieve their targets. Tesla’s new chairwoman is walking into SEC and DOJ probes 2018-11-09T05:00:00Z In appealing to the Supreme Court, Lorenzo said the SEC is trying to paint individuals who might be liable at most for aiding and abetting fraudulent schemes as the primary violators of securities laws. U.S. Supreme Court appears reluctant to narrow securities laws 2018-12-03T05:00:00Z “He may have not had the intent to violate securities laws, but his tweet shows that he is happy to cost an investor money.” Greenlight comment adds to Tesla losses from Musk mocking SEC 2018-10-05T04:00:00Z Brokers must pass the grueling Series 7 exam to become licensed, which includes a deep immersion in securities law including insider trading. Insider-trading Seahawk runs into regulators’ Legion of Boom 2018-10-05T04:00:00Z Mr. Clayton said there was a need to balance penalties for violating securities laws with “the skills and support of certain individuals” who may be important “to the future success of a company.” Elon Musk Settled With the S.E.C., but Tesla’s Troubles Aren’t Over 2018-10-01T04:00:00Z The S.E.C. sought financial penalties, the return of ill-gotten gains, an injunction from future violations of federal securities laws and a permanent bar from being a director or an officer at a publicly held company. S.E.C. Goes After Musk With Its ‘Ultimate’ Penalty. Here’s Who Else Has Been Barred. 2018-09-28T04:00:00Z The company didn’t pay a fine but agreed to an injunction forbidding it from future violations of antifraud and corporate reporting provisions of federal securities laws, the agency said. Former Finance Chief at Salix Settles SEC Charges Over False Statements 2018-09-28T04:00:00Z “It is a very strong case, and it’s a clear and clean case for fraud,” said Teresa Goody, a former Securities and Exchange Commission official who now advises companies on securities law and corporate governance. SEC alleges Tesla’s Elon Musk lied to investors and seeks his removal as CEO 2018-09-27T04:00:00Z “Neither celebrity status nor reputation as a technological innovator provide exemptions from the securities laws.” S.E.C. Sues Tesla’s Elon Musk Over Fraud in Move That Could Oust Him 2018-09-27T04:00:00Z “Neither celebrity status nor reputation as a technological innovator provides an exemption from federal securities laws,” Stephanie Avakian, co-director of enforcement at the SEC, told a news conference announcing its charges against Musk. SEC sue Tesla's Musk for fraud, seek to bar him as officer 2018-09-27T04:00:00Z The fine was announced Tuesday after the SEC filed a complaint in federal court in New York, charging SeaWorld and former CEO James Atchison with violating antifraud provisions of federal securities laws. SeaWorld and former CEO fined $5 million for ‘Blackfish’ fallout 2018-09-18T04:00:00Z The alleged scheme to copy the technology includes a cameo from Michael Milken, the financier who famously pleaded guilty in 1990 to violating securities laws. Bike Maker Peloton Claims Flywheel Copied Its Technology 2018-09-12T04:00:00Z A federal judge has ruled that U.S. securities laws may cover an initial coin offering, handing the government a victory in its effort to regulate billions of dollars in cybercurrency offerings much as stocks are. U.S. securities laws may cover initial coin offerings, judge says in big win for feds 2018-09-11T04:00:00Z Dearie rejected that argument, writing on Tuesday that the federal securities law must be interpreted “flexibly.” U.S. securities law can cover cryptocurrencies, judge rules 2018-09-11T04:00:00Z While they are subject to American securities laws, they are often domiciled in territories that have looser corporate governance standards, allowing them to import these practices. Billionaire Founder Locked Up? JD.com’s Board Can’t Meet Without Its Mighty Boss 2018-09-06T04:00:00Z “Federal securities laws do not punish companies for failing to achieve their targets,” Northern California U.S. In dismissing a fraud claim against Tesla, a judge lets Musk be Musk 2018-08-28T04:00:00Z As the judge wrote, “Federal securities laws do not punish companies for failing to achieve their targets.” Tesla properly cautioned shareholders about Model 3 struggles, court rules 2018-08-27T04:00:00Z Zaslavskiy also said securities law was too vague to be applied to initial coin offerings. U.S. securities laws may cover initial coin offerings, judge says in big win for feds 2018-09-11T04:00:00Z District Judge Charles Breyer said that while the plaintiffs claimed that Tesla fell short of its production goals, “federal securities laws do not punish companies for failing to achieve their targets.” Tesla wins dismissal of shareholder lawsuit over Model 3 production 2018-08-27T04:00:00Z Many securities law experts, including former Securities and Exchange Commission officials, said the “funding secured” tweet, if false or misleading, could violate federal securities laws. What will (or won't) Tesla's board of directors do about Elon Musk? 2018-08-26T04:00:00Z Still, the S.E.C., which is investigating whether Mr. Musk’s original tweet about a potential buyout violated securities law, may have more to say about the sequence of events — particularly the “funding secured” declaration. Inside Elon Musk’s Reversal on Taking Tesla Private 2018-08-25T04:00:00Z Monday’s decision in the shareholder lawsuit helps illuminate the difference between the two SEC investigations, according to Stephen Diamond, who teaches securities law and corporate governance at Santa Clara University’s School of Law. Tesla properly cautioned shareholders about Model 3 struggles, court rules 2018-08-27T04:00:00Z The judge, who rejected the defendant’s request to have the case dismissed, voiced skepticism about the defendant’s arguments that securities laws didn’t apply to him. U.S. securities laws may cover initial coin offerings, judge says in big win for feds 2018-09-11T04:00:00Z At least two lawsuits seeking class-action status also have been filed alleging Musk broke securities laws by making it sound like financing for the buyout was lined up. ‘Private’ mess: Musk’s credibility goes from bad to worse 2018-08-25T04:00:00Z “The federal securities laws are not built for people with impulse-control issues,” he said. Analysis | The enormous task ahead for Tesla’s board 2018-08-17T04:00:00Z The disclosures are required under federal securities law. Trump Asks S.E.C. to Study Quarterly Earnings Requirements for Public Firms 2018-08-17T04:00:00Z Monday’s statement “adds to his problems,” said James D. Cox, a corporate and securities law professor at Duke University. Musk’s Tweets on Tesla Buyout Face Scrutiny After Saudi Disclosure 2018-08-14T04:00:00Z “Musk’s irreverence and showmanship is part of the Tesla brand, I get that, but I don’t think the securities laws do,” said Fallon. Tesla's slow disclosure raises governance, social media concerns 2018-08-13T04:00:00Z Cox predicts that Tesla will settle with the SEC, pay a penalty and agree not to violate securities laws in the future. ‘Private’ mess: Musk’s credibility goes from bad to worse 2018-08-25T04:00:00Z Weird in the sense of possibly not countenanced by U.S. securities law. The private musings and short fuse of Elon Musk 2018-08-12T04:00:00Z His lawsuit, and another filed by William Chamberlain, accuse Mr Musk and Tesla of violating federal securities laws and artificially inflating Tesla's share price. Tesla's Elon Musk faces investor lawsuit 2018-08-11T04:00:00Z The lawsuits filed by Isaacs and William Chamberlain said Musk’s and Tesla’s conduct artificially inflated Tesla’s stock price and violated federal securities laws. Elon Musk and Tesla sued over 'funding secured' tweet 2018-08-10T04:00:00Z Experts in securities law say if Mr Musk's tweets are found to be misleading, he may be in trouble. Elon Musk in the hot seat, again 2018-08-10T04:00:00Z James Cox, a Duke University professor who specializes in corporate governance and securities law, said regulations prohibit companies from making misleading statements that influence the markets. ‘Private’ mess: Musk’s credibility goes from bad to worse 2018-08-25T04:00:00Z But federal securities laws do allow smaller investors to retain stakes in public companies that decide to go private, said Erik Weingold, an attorney who specializes in private placements. Elon Musk wants to take Tesla private. His SpaceX looks to be the model company 2018-08-09T04:00:00Z “What chaos,” said Teresa Goody, a former Securities and Exchange Commission official who now advises companies on securities law and corporate governance. Tesla suspends share-trading after Elon Musk tweets he wants to take the carmaker private 2018-08-07T04:00:00Z The upbeat earnings report overshadowed news from SeaWorld that it has reached an initial settlement with the Securities and Exchange Commission related to possible violations of federal securities law. Is SeaWorld making a comeback? Attendance jumps 2018-08-06T04:00:00Z Two years later, the firm and three officers, including two of Rosenwald’s brothers-in-law, pleaded guilty to and were convicted of three counts of violating state securities law. Special Report: Biotech incubator taps investors through in-house... 2018-08-02T04:00:00Z Kacouris alleged that Facebook and its chief executive, Mark Zuckerberg, violated federal securities laws by misleading shareholders about the company’s number of active users and the slowing growth of its revenue. Shareholder sues Facebook after stock plunges 2018-07-30T04:00:00Z The shareholder meetings, which are scheduled to take place simultaneously at the New York Hilton, are required under securities law, but the business conducted will be rather perfunctory. Murdoch and Iger to Skip Fox and Disney Shareholder Votes 2018-07-25T04:00:00Z The SEC enforces securities laws that govern what must be disclosed to shareholders so they can make informed investment decisions. SEC Probes Why Facebook Didn’t Warn Sooner on Privacy Lapse 2018-07-12T04:00:00Z Therefore, US holders of Sky shares may not be able to sue a non-US company or its officers or directors in a non-US court for violations of the US securities laws. 21st Century Fox Announces Increased Recommended Pre-Conditional Cash Offer for Sky PLC 2018-07-11T04:00:00Z Ross said that securities laws say that any information in the hands of news organizations is considered “by definition public information.” Watchdog group calls for investigation into Wilbur Ross’s financial dealings 2018-06-22T04:00:00Z In its opinion Thursday, the court said administrative law judges are constitutional officers because they exercise “significant authority,” presiding at hearings, issuing opinions and deciding sanctions for those charged with violating the nation’s securities laws. Supreme Court sides with discredited investment adviser, says SEC judge was improperly appointed 2018-06-21T04:00:00Z Securities and Exchange Commission stated that the cryptocurrency was not a security, thus exempting certain transactions in the token from federal securities laws. U.S. SEC official says ether not a security, price surges 2018-06-14T04:00:00Z Therefore, they were subject to federal securities laws and the issuers had to register all sales of DAO tokens with the SEC. The SEC says Ethereum tokens are not securities 2018-06-14T04:00:00Z The 4-to-1 decision by the New York State Court of Appeals said the statute of limitations for bringing claims under the Martin Act, a sweeping state securities law, is three years, not six. New York’s Top Court Limits Time Frame for Martin Act Lawsuits 2018-06-12T04:00:00Z They opened as many as 70 investigations and warned roughly 35 companies about potentially violating securities laws. How criminals can manipulate cryptocurrency markets 2018-06-02T04:00:00Z One new law exempts certain types of blockchain tokens, or cryptocurrencies issued to people who invest in tech startups, from state securities laws. Wyoming makes rush for hyped new tech, results still virtual 2018-05-23T04:00:00Z “And, as with Bitcoin, applying the disclosure regime of the federal securities laws to current transactions in Ether would seem to add little value.” U.S. SEC official says ether not a security, price surges 2018-06-14T04:00:00Z The report cautioned investors against initial coin offerings, which can also violate securities law. The SEC says Ethereum tokens are not securities 2018-06-14T04:00:00Z As many as 35 cases are pending or already completed, with some resulting in cease-and-desist letters warning the alleged schemes that their unregistered activity violates state securities law. State regulators unveil nationwide crackdown on suspicious cryptocurrency investment schemes 2018-05-21T04:00:00Z The SEC says in court papers that it’s investigating Iconix to learn if federal securities laws were violated when the company reported financial results. Rapper Jay-Z set for May 11 SEC encounter, unless … 2018-05-03T04:00:00Z The Securities and Exchange Commission, meanwhile, has said that initial coin offerings, or sales of new cryptocurrencies, should be subject to securities laws to protect investors from fraud. The Crypto Crime Wave Is Here 2018-04-26T04:00:00Z The Sunnyvale, California-based company neither admitted nor denied the allegations but did agree to refrain from further violations of securities laws. Ex-Yahoo paying $35M to settle SEC charges over 2014 hack 2018-04-24T04:00:00Z Coin Center said in a statement to The Verge: “We are glad the SEC agrees with our long held analysis of how securities law applies to decentralized cryptocurrency networks like Bitcoin and Ethereum.” The SEC says Ethereum tokens are not securities 2018-06-14T04:00:00Z But regulators expect many sites to shut down voluntarily or amend their practices to comply with securities laws. State regulators unveil nationwide crackdown on suspicious cryptocurrency investment schemes 2018-05-21T04:00:00Z The case involves the Securities and Exchange Commission’s administrative law judges, who conduct hearings on alleged securities law violations and issue initial decisions. Supreme Court wrestles with administrative law judge case 2018-04-23T04:00:00Z The proposal suggests that digital tokens should generally be exempt from securities laws if they achieve “full decentralization” or “full functionality.” Venture Capitalists Seek ‘Safe Harbor’ for Virtual Currencies 2018-04-19T04:00:00Z The paperwork, required under securities law, also disclosed that senior Fox executives, including Mr. Murdoch and his two sons, James and Lachlan, are eligible for tens of millions of dollars in “golden parachute” payments. Comcast Bid 16% More Than Disney for 21st Century Fox, Filing Shows 2018-04-18T04:00:00Z In 1990, in one of her first important cases, Judge Wood sentenced the onetime junk-bond king Michael Milken to 10 years in prison for, among other crimes, violating federal securities laws. Hearing the Cohen Case: A Soft-Spoken Judge Who ‘Carries a Big Stick’ 2018-04-18T04:00:00Z As a result, Rotunda said, any Texas resident who agreed to participate was at risk of violating state securities laws themselves. State regulators unveil nationwide crackdown on suspicious cryptocurrency investment schemes 2018-05-21T04:00:00Z The Martin Act, a 1921 New York securities law that predates the creation of the federal Securities and Exchange Commission, grants sweeping powers exceeding even those of Washington. Wall Street Titan Takes Aim at Law That Tripped Him Up 2018-04-15T04:00:00Z The agency that regulates the securities sector and enforces securities laws announced Joel R. Levin’s appointment in a Thursday statement. Prosecutor in Chicago named head of SEC’s regional office 2018-04-08T04:00:00Z Block.one is headquartered in the Cayman Islands to avoid government oversight and taxes and has even blocked U.S. and Chinese citizens from purchasing tokens just to steer clear of securities laws. Inside a $1.5 billion cryptocurrency startup in Virginia 2018-03-24T04:00:00Z Some companies are shunning U.S. investors altogether in order to avoid U.S. securities law, which generally focuses on where investors are from rather than where the company is based. Cryptocurrency issuers clean up, shun U.S. investors as SEC gets tough 2018-03-21T04:00:00Z “Defendants violated multiple provisions of the federal securities laws by engaging in a prolonged fraudulent course of conduct,” the U.S. U.S. SEC says court should deny Rio Tinto's push to dismiss fraud... 2018-03-20T04:00:00Z Chinese law allows for similar takeovers across the financial sector; banking and securities laws, for instance, allow the state to step in with banks and brokerages, legal analysts say. Anbang takeover puts China's companies on notice 2018-02-25T05:00:00Z Circuit Court of Appeals in Manhattan said a lower court judge erred in dismissing Schwab’s federal securities law claims over alleged misrepresentations by banks that caused it to buy floating-rate debt tied to Libor. U.S. appeals court revives Schwab Libor-rigging claims against banks 2018-02-23T05:00:00Z The law defined “whistle-blower” to mean “an individual who provides information relating to a violation of the securities laws” to the Securities and Exchange Commission. Supreme Court Rules on Terrorism, Whistle-Blowers and Prisoners 2018-02-21T05:00:00Z The SEC adopted rules in 2011 to prohibit corporate employers from retaliating against whistleblowers who try to report allegations of securities law violations or fraud. U.S. top court refuses to widen whistleblower protections 2018-02-21T05:00:00Z Some firms were unable to show that their systems are tested and operating properly, a requirement since January under the European Union’s new “MiFID II” securities law. British watchdog tells computer traders to tighten controls 2018-02-12T05:00:00Z Chinese law allows for similar takeovers across the financial sector; banking and securities laws, for instance, allow the state to step in with banks and brokerages, legal analysts say. Anbang takeover puts China's companies on notice 2018-02-25T05:00:00Z Circuit Court of Appeals in Manhattan said a lower court judge erred in dismissing Schwab’s federal securities law claims over alleged misrepresentations by banks that caused it to buy floating-rate debt tied to Libor. U.S. appeals court revives Schwab Libor-rigging claims against banks 2018-02-23T05:00:00Z However, under securities law, a company is obligated to disclose developments that might be important to investors considering buying its stock. Wynn case raises question: When do investors need to know? 2018-02-08T05:00:00Z The SEC adopted rules in 2011 to prohibit corporate employers from retaliating against whistleblowers who try to report allegations of securities law violations or fraud. U.S. top court refuses to widen whistleblower protections 2018-02-21T05:00:00Z Some firms were unable to show that their systems are tested and operating properly, a requirement since January under the European Union’s new “MiFID II” securities law. British watchdog tells computer traders to tighten controls 2018-02-12T05:00:00Z “I don’t think the gatekeepers that we rely on to assist us in making sure our securities laws are followed have done their job.” US regulators are struggling to reign in illegal cryptocurrency offerings 2018-02-06T05:00:00Z Department of Justice and the Securities and Exchange Commission are investigating Apple over possible federal securities law violations, citing multiple people familiar with the probes. Apple investigated over slowing down older iPhones: Report 2018-01-31T05:00:00Z The Wall Street Journal and Bloomberg reported Tuesday that the Department of Justice and the Securities and Exchange Commission are probing whether Apple violated securities laws. Reports: DOJ, SEC probe Apple for slowing older iPhones 2018-01-30T05:00:00Z Last month, SEC Chair Jay Clayton said many offerings of coins or tokens appear to be securities by another name, and therefore subject to standard securities law. US blocks coin offering by 'scam' bank 2018-01-30T05:00:00Z Department of Justice and Securities and Exchange Commission are investigating whether Apple Inc violated securities laws concerning its disclosures that it slowed older iPhones with flagging batteries, Bloomberg reported on Tuesday. DoJ, SEC probe Apple over slowing older iPhones: Bloomberg 2018-01-30T05:00:00Z While U.S. securities law requires stock brokers to disclose which venues they direct orders to, the rules are still in flux for cryptocurrency brokers. Startup Robinhood to launch commission-free cryptocurrency trading 2018-01-25T05:00:00Z Almost a week later, SEC chairman Jay Clayton issued a warning on cryptocurrencies to investors, hinting that the commission would begin monitoring the market more closely for any potential violations of securities laws. This week’s Bitcoin crash was all about fraud and regulation 2018-01-18T05:00:00Z Publicly traded firms are subject to securities laws which require major shareholders to be disclosed. Canada frets about anonymously owned firms 2018-01-04T05:00:00Z German securities law requires companies to publish any market sensitive news in a timely fashion. VW to try to block emissions audit in constitutional court 2017-12-28T05:00:00Z Department of Justice and Securities and Exchange Commission are investigating whether Apple Inc violated securities laws concerning its disclosures that it slowed older iPhones with flagging batteries, Bloomberg reported on Tuesday. DoJ, SEC probe Apple over slowing older iPhones: Bloomberg 2018-01-30T05:00:00Z While U.S. securities law requires stock brokers to disclose which venues they direct orders to, the rules are still in flux for cryptocurrency brokers. Startup Robinhood to launch commission-free cryptocurrency trading 2018-01-25T05:00:00Z “Woodbridge's business model was a sham,” the agency said in its lawsuit, which alleges numerous violations of securities laws. SEC says L.A. developer who bought celebrity real estate ran $1 billion Ponzi scheme 2017-12-22T05:00:00Z He was once fined for breaching securities law and accused of massaging employment and poverty figures to flatter his government’s economic record, though he denied it. What Sebastián Piñera’s victory in Chile’s presidential election means 2017-12-18T05:00:00Z German securities law requires companies to publish any market sensitive news in a timely fashion. VW to try to block emissions audit in constitutional court 2017-12-28T05:00:00Z As for those celebrity-endorsed ICOs, the SEC also put a stop to that, warning that these paid celebrities might be violating U.S. securities laws. As Bitcoin, other currencies soar, regulators urge caution 2017-12-14T05:00:00Z In publicly traded companies, at least, there’s a good model for checking this behavior: Congress should apply the same standards for sexual misconduct that it does to violations of securities law. Opinion | The one best idea for ending sexual harassment 2017-12-08T05:00:00Z As a civil suit, the SEC case seeks only financial penalties and a prohibition against further violations of securities laws. Latest alleged investment scam here has some parallels to Berg’s Ponzi subterfuges 2017-12-08T05:00:00Z CME is using a process known as “self-certification,” which is when an exchange pledges that the new instruments will not break any federal securities laws. Regulator allows bitcoin futures trading; Black Friday boosted auto sales in November 2017-12-01T05:00:00Z Plaintiffs allege federal securities law violations and that the fundraiser defrauded participants, who were told they were making non-refundable donations to the Swiss foundation. Exclusive: Tezos founders push for legal bailout from Swiss foundation 2017-12-01T05:00:00Z The US Securities and Exchange Commission ruled that some ICOs fell under securities law, setting them apart from general crowdfunding efforts. 2017 is the year cryptocurrency joined the global financial system 2017-11-29T05:00:00Z The law also requires corporate officers to sign certifications, under penalty of perjury, attesting to their companies’ compliance with securities laws and maintenance of internal controls that work to identify violations. Opinion | The one best idea for ending sexual harassment 2017-12-08T05:00:00Z “I.C.O.s represent the most pervasive, open and notorious violation of federal securities laws since the Code of Hammurabi,” Mr. Grundfest said in an interview. Initial Coin Offerings Horrify a Former S.E.C. Regulator 2017-11-26T05:00:00Z District Court in Florida by Coral Springs-based law firm Silver Miller, alleges that Tezos’ organizers broke U.S. securities laws and defrauded and misled participants in the online fundraiser, according to court documents. Tezos organizers hit with second lawsuit over cryptocurrency fundraiser 2017-11-16T05:00:00Z Plaintiffs allege federal securities law violations and that the fundraiser defrauded participants, who were told they were making non-refundable donations to the Swiss foundation. Exclusive: Tezos founders push for legal bailout from Swiss foundation 2017-12-01T05:00:00Z A class-action lawsuit filed in a California state court last month alleged Tezos’ organizers violated U.S. securities laws and defrauded participants. No refund for Tezos contributors, cryptocurrency broker says 2017-11-15T05:00:00Z Moreover, the founders and others involved are being sued by an ICO contributor for alleged breaches of securities law, which Tezos denies. Regulators begin to tackle the craze for initial coin offerings 2017-11-09T05:00:00Z The agency has also warned that at least some coins being sold could be considered securities, and would be in violation of securities law if not registered with the authorities — and few are. Initial Coin Offerings Horrify a Former S.E.C. Regulator 2017-11-26T05:00:00Z District Court in Florida by Coral Springs-based law firm Silver Miller, alleges that Tezos’ organizers broke U.S. securities laws and defrauded and misled participants in the online fundraiser, according to court documents. Tezos organizers hit with second lawsuit over cryptocurrency fundraiser 2017-11-16T05:00:00Z That's because it is the Securities and Exchange Commission, the federal agency that enforces securities laws, that will have the final say. Equifax says execs who sold stock after huge breach did nothing wrong 2017-11-03T04:00:00Z A class-action lawsuit filed in a California state court last month alleged Tezos’ organizers violated U.S. securities laws and defrauded participants. No refund for Tezos contributors, cryptocurrency broker says 2017-11-15T05:00:00Z “The SEC will continue to focus on these types of promotions to protect investors and to ensure compliance with the securities laws,” the SEC said. Wall Street regulator warns celebrities, individuals touting digital coins 2017-11-01T04:00:00Z “I say, ‘Look, you are at very high risk for violating the securities law,’ and explain why,” he said. Initial Coin Offerings Horrify a Former S.E.C. Regulator 2017-11-26T05:00:00Z Zenefits and Conrad consented to the SEC’s order without admitting or denying the findings that they violated the federal securities laws. Zenefits, co-founder to pay SEC fine of nearly $1 million 2017-10-26T04:00:00Z “The fact that it seems like a bogus theory of federal securities law disclosure will not stop them from exploring it,” Mr. Zweifach added. O’Reilly Settled New Harassment Claims, Then Fox Renewed His Contract 2017-10-21T04:00:00Z The lack of disclosures may have violated China’s securities laws on “connected” transactions, say experts on Chinese law. Morning Agenda: Samsung Heir’s Conviction Shakes Up Empire 2017-08-25T04:00:00Z “The SEC will continue to focus on these types of promotions to protect investors and to ensure compliance with the securities laws,” the SEC said. Wall Street regulator warns celebrities, individuals touting digital coins 2017-11-01T04:00:00Z This eye-opening volume should pressure Canada to clean up its lax securities laws and imperialistic foreign policy — and push us all to rethink the unspeakable price of mineral extraction. Summer books : Nature : Nature Research 2017-08-01T04:00:00Z Zenefits and Conrad consented to the SEC’s order without admitting or denying the findings that they violated the federal securities laws. Zenefits, co-founder to pay SEC fine of nearly $1 million 2017-10-26T04:00:00Z The commission published a report on Tuesday advising that ICOs, or token sales, are subject to securities laws. The SEC is throwing a damper on ethereum madness 2017-07-27T04:00:00Z German securities law requires firms publish any market sensitive news in a timely fashion. VW bosses told costs of emissions saga a month before disclosure: report 2017-07-09T04:00:00Z Those rules, which were adopted in 2011, prohibit corporate employers from retaliating in any way against whistleblowers who try to report allegations of securities law violations. Top U.S. court to review scope of Dodd-Frank whistleblower protections 2017-06-26T04:00:00Z “When these companies speak to their shareholders, they are prohibited under federal securities laws from materially misstating facts,” writes Pelosi. Nancy Pelosi slams Ajit Pai in letter supporting net neutrality 2017-06-20T04:00:00Z The law sets a five-year statute of limitations for “any civil fine, penalty or forfeiture” for violating the securities law, but the agency had said an order to “disgorge” ill-gotten gains was not a penalty. Supreme Court will decide whether police can use cellphone data to track suspects 2017-06-05T04:00:00Z Some ICOs might be found in violation of securities law, and some might be different enough to be in the clear. The SEC is throwing a damper on ethereum madness 2017-07-27T04:00:00Z Because the SEC considers some EB-5 offerings securities, companies and individuals selling those investments must comply with U.S. securities laws. Behind Kushner Companies, a Chinese agency skirts visa-for-investment rules 2017-05-12T04:00:00Z PPG must now decide whether it will move to a formal bid ahead of a June 1 deadline under Dutch securities laws without support of Akzo's boards. Akzo Nobel declines third takeover proposal from PPG 2017-05-08T04:00:00Z It is only right, of course, that violators of securities laws bear the consequences of their infractions. In S.E.C.’s Streamlined Court, Penalty Exerts a Lasting Grip 2017-05-04T04:00:00Z Circuit Court of Appeals in Manhattan said the customers failed to show that JPMorgan had enough "control" over Madoff's fraud to justify liability under federal securities laws. JPMorgan beats Madoff customers' appeal 2017-04-26T04:00:00Z The measure also would prevent the S.E.C. from barring someone found guilty of violating securities laws from serving as an officer or director of a publicly traded corporation. A Whack at Dodd-Frank Could Hamstring the S.E.C. 2017-04-24T04:00:00Z "The misconduct of this former employee in willfully violating his duty of loyalty, firm compliance policies and federal securities laws is deeply regrettable," Thomas Faust, Eaton Vance's chief executive officer, said in a statement. Ex-Eaton Vance portfolio manager to plead guilty to fraud in U.S. court 2017-04-24T04:00:00Z He mentions various structural enablers of gargantuan fortunes, from tax shelters to weak securities laws and corporate pressure to cut taxes and shrink regulation. Philanthropy: The politics of giving : Nature : Nature Research 2017-04-04T04:00:00Z Yes, Mr. Grundfest’s background was impressive, the commission’s lawyers said, but “such credentials are not a license to lecture this tribunal about securities laws.” In S.E.C.’s Streamlined Court, Penalty Exerts a Lasting Grip 2017-05-04T04:00:00Z The lawsuit, filed on Tuesday in Dallas federal court by Irving Firemen's Relief & Retirement Fund, claimed the fund suffered economic loss as a result of violations of the securities laws by Signet. Signet Jewelers sued for not disclosing harassment allegations 2017-03-28T04:00:00Z All told, while an in-house proceeding would not be precluded, it would be a much less enticing avenue for pursuing enforcement of securities laws. A Whack at Dodd-Frank Could Hamstring the S.E.C. 2017-04-24T04:00:00Z Under Swiss securities law, companies are not required to draw up a listing prospectus if it is increasing its share capital by less than 10 percent. Credit Suisse considers stock sale instead of Swiss unit IPO: sources 2017-03-23T04:00:00Z The SEC enforces securities laws and regulates U.S. stock, options and bond markets. Senate panel to weigh confirmation for SEC nominee Clayton 2017-03-23T04:00:00Z “This may be a good time for that kind of person,” said James Cox, a professor at Duke University Law School who is an expert on securities law and is a close SEC-watcher. Trump's SEC pick, an ex-Goldman lawyer, to face skepticism 2017-03-22T04:00:00Z They contended that Valeant and Pershing Square violated securities laws, which prohibit fraudulent, deceptive or manipulative actions in connection with a tender offer. Hedge Fund Titan’s Surefire Bet Turns Into a $4 Billion Loss 2017-03-19T04:00:00Z Meanwhile, executive-branch agencies remain obliged to implement the securities laws, food and drug laws, environmental laws and the various other statutes that define the modern administrative state. Opinion | The Founders might actually have liked the ‘deep state’ 2017-03-15T04:00:00Z The SEC is an independent federal agency tasked with enforcing securities laws and regulating the country's stock and options exchanges. SEC nominee Clayton vows separation from his Wall Street law firm 2017-03-08T05:00:00Z They say it is a misuse of U.S. securities law. Why Apple and Intel don’t want to see the conflict minerals rule rolled back 2017-02-23T05:00:00Z Full and fair disclosure is at the heart of our nation’s securities laws. When Companies Dodge Disclosures, Investors Should Beware 2017-01-27T05:00:00Z Supreme Court in 2010 narrowed the reach of U.S. securities laws. BT Group faces U.S. lawsuits as Italian accounting scandal deepens 2017-01-25T05:00:00Z Even if Price’s stock purchases were permissible under federal securities law, his sizable investment portfolio nevertheless places his legislative judgments into question: Did personal stock holdings influence his legislative activity? Opinion | Tom Price’s stock controversy shows an urgent need for a new law 2017-01-24T05:00:00Z The question was whether the extension under Firrea trumps the statute of repose in the securities laws. When Making a Fraud Claim, Choose Your Filing Date Wisely 2017-01-23T05:00:00Z The SEC issued requests for documents in December, as it probes whether the technology company’s disclosures about the cyber attacks complied with civil securities laws, the people said, according to the Journal. SEC probing Yahoo over previously disclosed cyber breach: filing 2017-01-22T05:00:00Z “In my opinion, yes,” said Lewis D. Lowenfels, an authority on securities law and an adjunct professor at Seton Hall University Law School. When Companies Dodge Disclosures, Investors Should Beware 2017-01-27T05:00:00Z Supreme Court upheld the right of prosecutors to pursue insider trading cases involving executives who pass tips to relatives, saying the practice violates securities laws. Donald Trump, Angela Merkel, Supreme Court: Your Wednesday Briefing 2016-12-07T05:00:00Z But whether the company violated securities law in the process is another question. Editorial Roundup: Excerpts from recent editorials 2017-01-04T05:00:00Z But environmental groups charge that Exxon knew about the harmful effects of fossil fuels as much as 40 years ago and failed to inform investors and the public, possibly in violation of securities laws. Trump picks ExxonMobil CEO Rex Tillerson to be secretary of state 2016-12-12T05:00:00Z The court found that confidential information passed on by business executives to relatives violated securities laws. S.E.C.’s Top Enforcer to Depart at Year-End 2016-12-08T05:00:00Z “I assume you had to figure it out to begin with,” said Adam Pritchard, a professor of securities law at the University of Michigan. Dodd-Frank Rules on Business: Up for a Rethink 2016-11-28T05:00:00Z “I don’t think it eviscerates Dodd-Frank, but I think it takes away some parts,” James Cox, a Duke University expert on securities law, said of the Trump team’s approach. End Dodd-Frank? Unlikely, but consumer agency in crosshairs 2016-11-17T05:00:00Z Exxon said in September the US Securities & Exchange Commission is the right agency to vet how it books reserves and that it complies with accounting and securities laws. Exxon asks court to throw out New York state's climate change case 2016-10-18T04:00:00Z Securities & Exchange Commission is the right agency to vet how it books reserves and that it complies with accounting and securities laws. Exxon asks court to toss out New York State's climate change case 2016-10-17T04:00:00Z The Securities and Exchange Commission is investigating whether Theranos, which is privately held, violated securities laws. Theranos Sued by Investor Who Accuses It of Securities Fraud 2016-10-10T04:00:00Z And lawyers in criminal, environmental and securities law insisted that briefs’ lengths should not be shortened because legal issues and statutes are more complex than ever. Judges Push Brevity in Briefs, and Get a Torrent of Arguments 2016-10-03T04:00:00Z Yet, they still avoided the more significant consequences from their actions: no criminal charges, nor an admission to violating the securities law in a civil action. Och-Ziff May Face Consequences Beyond Fine in Bribery Case 2016-10-03T04:00:00Z Moreover, he said, the state’s obligations under securities law are uncertain, and the political pressure for taxpayers to backfill investment losses would be intense. Governor to approve state-run retirement for private workers 2016-09-29T04:00:00Z Justine Harris, a lawyer for Hirst, in her opening statement said her client "had no inkling about the scheme that Jason had cooked up to get around securities laws." Ex-Gerova Financial president convicted of securities fraud 2016-09-28T04:00:00Z The SEC and Caledonian's liquidators subsequently negotiated a settlement in which the defunct bank would be enjoined from future U.S. securities law violations and would forfeit $25 million, for which the regulator would waive payment. U.S. judge approves but critiques SEC's 'phantom' deal with bank 2016-09-28T04:00:00Z "We believe that Caesars' actions, which we believe violated federal securities laws and were cloaked in secrecy, damage our capital markets and we are prepared to fully litigate the matter," Kupferberg said. Caesars 'optimistic' on deal with bankrupt unit's creditors 2016-09-26T04:00:00Z Regulators said Mr. Cooperman “repeatedly violated” federal securities laws requiring investors to disclose when their equity interest in a publicly traded company rises above either a 5 or 10 percent stake. Leon Cooperman, a Billionaire Charged With Insider Trading, Prepares to Fight 2016-09-21T04:00:00Z The securities laws adopt a materiality test to determine whether disclosure is mandated about takeover negotiations. Lawyers Burnish Tesla’s Deal for SolarCity 2016-09-02T04:00:00Z Utah is the other state with a whistle-blower program aimed at identifying securities law violations. To Crack Down on Securities Fraud, States Reward Whistle-Blowers 2016-08-21T04:00:00Z U.S. securities laws enforced by the SEC require public companies to publicly disclose meaningful financial and other information to investors. Wells Fargo faces scrutiny over lack of sales scandal disclosure 2016-09-16T04:00:00Z Jurors also found former budget director Michael Boudreax liable for securities law violations. Jury finds Miami defrauded bond investors in 2009 2016-09-15T04:00:00Z They often stick below the 10 percent ownership threshold due to securities laws requiring 10 percent shareholders who sell out within six months to forego any profits made in that time period. Chipotle (CMG) Stock: Should You Follow Ackman’s $1.2 Billion Bet? 2016-09-08T04:00:00Z Consumers often see sales momentum as validation of a brand, and—although monthly reports aren’t necessarily required by securities law—investors pay close attention to those numbers. Fiat Chrysler’s Rallying Cry Emerges as Focus in Sales Probe 2016-09-01T04:00:00Z The monetary award was the first given under that state’s whistle-blower program aimed at securities law violators. To Crack Down on Securities Fraud, States Reward Whistle-Blowers 2016-08-21T04:00:00Z The law encourages whistleblowers to report possible securities law violations by providing financial awards and other incentives. Health Net tried to block employee whistleblowers, SEC says 2016-08-16T04:00:00Z The Securities and Exchange Commission is also looking into whether Tesla possibly violated securities laws by failing to disclose the fatal crash in documents related to its public stock offering on May 18. Tesla’s Big Loss Reflects Its Costly Ambitions 2016-08-03T04:00:00Z The communication with the SEC will include the sale of assets from Platinum's portfolios and any potential violations of federal securities law, he wrote. Platinum Partners to liquidate two main funds amid government probes 2016-07-20T04:00:00Z Federal prosecutors are investigating allegations that Fiat Chrysler violated securities laws by getting dealers to falsely report sales in order to inflate the company's numbers. Federal investigation targets Fiat Chrysler sales reports 2016-07-18T04:00:00Z Prosecutors are scrutinizing whether the carmaker violated U.S. securities laws, according to the report. U.S. DoJ investigating Fiat Chrysler for fraud: Bloomberg 2016-07-18T04:00:00Z Those decisions all found that the procedures in the securities laws for reviewing a case were sufficient to protect the rights of a defendant caught up in an administrative proceeding. S.E.C. Victories Delay Challenge on In-House Judges 2016-07-05T04:00:00Z But the Constitution’s Commerce Clause and federal securities law prohibit the attorney general from trying to export its law outside its jurisdiction. A New York Vendetta That Harms Business 2016-06-29T04:00:00Z Along the way, Faulkner, his friends and associates violated various securities laws, it said. Texas 'Frack Master' bilked investors out of millions, SEC says 2016-06-27T04:00:00Z District Court in Manhattan seeking to thwart Pimco's federal securities law claim. AIG must face Pimco lawsuit over financial crisis losses 2016-06-01T04:00:00Z In January, the SEC said it would examine the funds for compliance with securities laws. U.S. securities regulator takes aim at exchange-traded funds 2016-05-20T04:00:00Z But that is not always the case, as an initial decision last week in an administrative proceeding rejected charges against Equity Trust, a custodian of individual retirement accounts, for violating the securities laws. S.E.C. Victories Delay Challenge on In-House Judges 2016-07-05T04:00:00Z Instead, his management company released a statement that said Mickelson felt "vindicated" because the SEC complaint does not say he violated any securities laws. On Golf: Mickelson's latest high risk is off the golf course 2016-05-20T04:00:00Z Instead, his management company released a statement that said Mickelson felt “vindicated” because the SEC complaint does not say he violated any securities laws. On Golf: Mickelson’s latest high risk is off the golf course 2016-05-20T04:00:00Z Mickelson’s management group issued a statement Thursday saying that he felt “vindicated” because prosecutors hadn’t charged him with breaking securities laws. Phil Mickelson to forfeit nearly $1 million in SEC case 2016-05-19T04:00:00Z Mickelson's management group issued a statement Thursday saying that he felt "vindicated" because prosecutors hadn't charged him with violating securities law. Phil Mickelson to forfeit nearly $1 million in SEC case 2016-05-19T04:00:00Z Mickelson’s management group issued a statement Thursday saying that he felt “vindicated” because prosecutors hadn’t charged him with violating securities law. Phil Mickelson to forfeit nearly $1 million in SEC case 2016-05-19T04:00:00Z Mickelson’s management group issued a statementon Thursday saying that he felt “vindicated” that the SEC hadn’t been charged with violating securities law. Masters winner Phil Mickelson forfeits $1m over insider trading scheme 2016-05-19T04:00:00Z But criminal prosecutions require a higher burden of proof than the balance of probability enshrined in securities law. Not seeing the wood or the trees 2016-05-12T04:00:00Z Until now, federal securities laws allowed only wealthy individuals, or so-called accredited investors, to participate in such offerings. New Rules Give Startups Access to Main Street Investors 2016-05-11T04:00:00Z Kidney told me that he thought the S.E.C. could avail itself of a broader interpretation of securities law. Why the S.E.C. Didn’t Hit Goldman Sachs Harder 2016-04-21T04:00:00Z Paxton has admitted to violating state securities laws. Recent editorials from Texas newspapers 2016-04-12T04:00:00Z U.S. regulators intend to recommend civil charges against hedge-fund manager Leon Cooperman and his Omega Advisors Inc. for alleged violations of securities law, the firm told investors Monday. Regulators Near Charges Against Cooperman and Omega, Firm Says 2016-03-21T04:00:00Z Some of the issues the state is likely to weigh include whether lenders are following securities law when selling loans to investors and the extent to which lenders are subject to California lending law. Online lenders drawing more scrutiny by regulators 2016-03-09T05:00:00Z There's no blanket exemption from all privacy laws in the federal securities law. Does a company have to disclose when a top executive has a serious medical problem? 2016-02-04T05:00:00Z The agency holds the case up as a success, and in some ways it was: Goldman had to pay a five-hundred-and-fifty-million-dollar fine, and a low-ranking trader was found liable for violating securities laws. Why the S.E.C. Didn’t Hit Goldman Sachs Harder 2016-04-21T04:00:00Z Barclays will admit in the settlement that it misled customers and violated securities laws, the New York attorney general’s office said. Barclays and Credit Suisse to Settle ‘Dark Pool’ Inquiries 2016-01-31T05:00:00Z But the court dismissed that case in 2007, citing a “clear incompatibility between the securities laws and antitrust laws.” Case Sheds Light on Goldman’s Role as Lender in Short Sales 2016-01-29T05:00:00Z Unlike federal securities law, the New York statute does not require the state to prove that a company intended to defraud — only that it misrepresented relevant information or withheld it from investors. California to investigate whether Exxon Mobil lied about climate-change risks 2016-01-20T05:00:00Z That is, there's no specific obligation under the federal securities laws to disclose the health condition of executives. Does a company have to disclose when a top executive has a serious medical problem? 2016-02-04T05:00:00Z State District Judge George Gallagher rejected arguments that secret grand jury proceedings this summer were compromised and claims that Paxton was covered under federal securities law. Judge refuses to toss charges against Texas attorney general 2015-12-11T05:00:00Z These complications are present in a range of other issues: securities laws, copyright questions and human rights. Breyer Sees Value in U.S. Supreme Court’s Looking to Foreign Law 2015-11-29T05:00:00Z New York-based Athena neither admitted nor denied the allegations under the settlement, but it did agree to refrain from future violations of the securities laws. Regulators tighten rules for high-speed traders 2015-11-24T05:00:00Z Moreover, the federal securities laws and rules run to hundreds of pages so it would not be economically feasible for these examiners to look at compliance with every law and rule. Investment Advisers Don’t Need Mystery Monitors 2015-11-22T05:00:00Z |
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