The Securities and Exchange Commission today reopened the comment period for its proposed rule for position reporting of large security-based swap positions that exceed certain thresholds, and the staff of the Commission’s Division of Economic and Risk… Read the Full Press Release Have a securities law question? Call New York […]
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SEC Charges Stanley Black & Decker and Former Executive for Failures in Executive Perks Disclosure
The Securities and Exchange Commission today announced settled charges against Stanley Black & Decker Inc., a publicly traded tools company, for failing to disclose perquisites it provided to certain executives. In addition, Jeffery D. Ansell, a… Read the Full Press Release Have a securities law question? Call New York Securities […]
SEC Secures Emergency Relief to Protect Binance.US Customers Assets
The Securities and Exchange Commission today secured emergency relief in which the all the defendants in its litigation against Binance Holdings Limited, BAM Management US Holdings Inc., BAM Trading Services Inc., and Changpeng Zhao agreed to repatriate… Read the Full Press Release Have a securities law question? Call New York […]
SEC Charges PIMCO for Disclosure and Policies and Procedures Failures
The Securities and Exchange Commission today announced that registered investment adviser Pacific Investment Management Company LLC (PIMCO) will pay $9 million to settle two enforcement actions relating to disclosure and policies and procedures… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme
The SEC has charged Sabby Management and its managing partner with fraud in a scheme involving misrepresentations and rule violations for short selling. Learn more here.
SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M
The Securities and Exchange Commission has removed and replaced references to credit ratings from existing exceptions provided in Rule 101 and Rule 102 of Regulation M. Find out more in the full press release. Need legal representation? Contact Sallah Astarita & Cox.
SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected
The Securities and Exchange Commission has filed an emergency action against Binance, freezing assets and directing the repatriation of customer funds. Read more here. #SEC #cryptotrading
SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao
The Securities and Exchange Commission has charged Binance Holdings Ltd. and its U.S. affiliate for operating the world’s largest crypto asset trading platform. Learn more here. #SEC #Binance #cryptocurrency
Protected: The SEC Whistleblower Program: Rewarding Individuals Who Expose Financial Wrongdoings
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SEC Halts Alleged Cannabis Fraud Scheme
The SEC obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. (INR), which does business as WeedGenics, and its owners, Rolf Max Hirschmann and Patrick Earl Williams. The SEC alleges that INR raised more than $60 million from investors to […]
