Supreme Court Casts Doubts on a Potent SEC Weapon – New York Times

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New York Times

Supreme Court Casts Doubts on a Potent SEC Weapon New York Times The Securities and Exchange Commission routinely seeks an order in an enforcement action to require a defendant to repay any ill-gotten gains, a remedy called disgorgement. The notion is that a thief should not be able to keep what was stolen, but … United States: Supreme Court Decision On Statute Of Limitations Governing SEC’s Recovery Of Disgorgement Also …Mondaq News Alerts (registration) Bridging the Week: June 5-9, June 12, 2017 (SEC Disgorgement Actions Are Not Forever; Keep Suspicions in SARs …The National Law Review all 11 news articles »

June 13, 2017 at 12:48AM

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Investors leery of easing private equity regs – Pensions & Investments

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Pensions & Investments

Investors leery of easing private equity regs Pensions & Investments Among the key changes for private equity managers, the act would eliminate the requirement that private equity firms register with, and be regulated and examined by the Securities and Exchange Commission. For investors, SEC oversight has helped to … and more »

June 12, 2017 at 12:28PM

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Equity at the Supreme Court – Washington Post

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Washington Post

Equity at the Supreme Court Washington Post SEC, in a unanimous decision with an opinion by Justice Sonia Sotomayor, there was a dynamite footnote. The case was about the statute of limitations for Securities and Exchange Commission (SEC) actions for disgorgement, and footnote three said: … and more »

June 11, 2017 at 01:22AM

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Exclusive: New SEC enforcement chiefs see cyber crime as biggest market threat – Reuters

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Reuters

Exclusive: New SEC enforcement chiefs see cyber crime as biggest market threat Reuters … tracking cyber crimes more closely, two newly appointed enforcement officials said in an interview on Thursday. On Thursday, the U.S. Securities and Exchange Commission named Stephanie Avakian and Steven Peikin as new co-directors of enforcement. US SEC names two to lead enforcement unitFinancial Times SEC’s Clayton Names Law Firm Colleague as Co-Enforcement ChiefBloomberg SEC picks 2 enforcement division directorsPensions & Investments all 6 news articles »

June 09, 2017 at 04:06AM

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US Securities and Exchange Commission acts on Minority’s petition over GHȻ2.25 bn bond – Myjoyonline.com

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Myjoyonline.com

US Securities and Exchange Commission acts on Minority’s petition over GHȻ2.25 bn bond Myjoyonline.com The United States Securities and Exchange Commission (SEC) has appointed a case manager for the petition filed by the Minority over government’s recent $2.25 billion bond issue. Minority Spokesperson on Foreign Affairs, Samuel Okudzeto-Ablakwa, who … and more »

June 08, 2017 at 09:42AM

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SEC: China bankers helped inside trader make millions on Comcast-DreamWorks deal – Philly.com (blog)

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Philly.com (blog)

SEC: China bankers helped inside trader make millions on Comcast-DreamWorks deal Philly.com (blog) The Securities and Exchange Commission has identified a China-based investment banker it says was in a position to send inside information to Shaohua “Michael” Yin, a Wharton MBA grad who with his partners made $30 million on DreamWorksSKG …

June 07, 2017 at 01:03AM

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SEC Wins Coffee Co. Pump-And-Dump Claims Against Investor – Law360 (subscription)

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SEC Wins Coffee Co. Pump-And-Dump Claims Against Investor Law360 (subscription) Law360, New York (June 1, 2017, 3:18 PM EDT) — A California federal judge has ruled in favor of the U.S. Securities and Exchange Commission on allegations that an offshore investor participated in a $78 million pump-and-dump scheme involving shares of … and more »

June 02, 2017 at 01:34AM

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COMMENTARY: SEC rightly concerned about ‘so-called SAFE’ securities in crowdfunding – Reuters

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Reuters

COMMENTARY: SEC rightly concerned about ‘so-called SAFE’ securities in crowdfunding Reuters NEW YORK (Thomson Reuters Regulatory Intelligence) – The U.S. Securities and Exchange Commission, released an investor bulletin earlier this month (here) cautioning retail investors about the risks of purchasing a particular type of security known as a …

June 02, 2017 at 01:34AM

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SEC-Mandated Forum Issues 15 Recommendations to Facilitate Capital Formation for Small Businesses; Seeks … – HuffPost

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SEC-Mandated Forum Issues 15 Recommendations to Facilitate Capital Formation for Small Businesses; Seeks … HuffPost Members of a Securities and Exchange Commission (SEC)-mandated Government-Business Forum on Small Business Capital have issued 15 collaborative recommendations that focus on eliminating or reducing impediments to capital formation for the …

May 31, 2017 at 05:57AM

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SEC fines RIA $230000 over conflicts – InvestmentNews

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InvestmentNews

SEC fines RIA $230000 over conflicts InvestmentNews The Securities and Exchange Commission has obtained final judgments against Stamford, Conn.,-based Momentum Investment Partners and its CEO, Ronald J. Fernandes, for failing to disclose to some advisory clients certain fees they were being charged.

May 31, 2017 at 05:57AM

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Leon Cooperman: I settled with the SEC because ‘I’m wealthy’ and an easy target – CNBC

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CNBC

Leon Cooperman: I settled with the SEC because ‘I’m wealthy’ and an easy target CNBC Cooperman’s firm agreed earlier this month to a $4.9 million settlement with the Securities and Exchange Commission after allegations of insider trading. As part of the settlement, Omega Advisors admitted to no wrongdoing. In a live interview Tuesday … A Defiant Leon Cooperman Calls SEC ‘Abusive’ After SettlementBloomberg Omega Advisors’s outspoken Cooperman calls SEC process ‘extraordinarily abusive’MarketWatch all 11 news articles »

May 31, 2017 at 05:57AM

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A Defiant Leon Cooperman Calls SEC ‘Abusive’ After Settlement – Bloomberg

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Bloomberg

A Defiant Leon Cooperman Calls SEC ‘Abusive’ After Settlement Bloomberg Why Leon Cooperman Settled With the SEC. Billionaire hedge fund manager Leon Cooperman lambasted regulators as “abusive” after he settled his insider trading case with the U.S. Securities and Exchange Commission earlier this month. Leon Cooperman. Cooperman calls SEC process ‘totally abusive’MarketWatch all 7 news articles »

May 30, 2017 at 11:43PM

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SEC official urges companies issuing tokens to protect investors – Reuters

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Reuters

SEC official urges companies issuing tokens to protect investors Reuters NEW YORK Companies creating and issuing tokens to raise capital for their projects have a responsibility to protect their investors, said a U.S. Securities and Exchange Commission official on Tuesday, the first public comments on the issue made by an … and more »

May 27, 2017 at 06:51PM

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SEC asks for extra appropriations in case it gets the OK for a new HQ – Washington Business Journal

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SEC asks for extra appropriations in case it gets the OK for a new HQ Washington Business Journal The Securities and Exchange Commission is still exploring the idea of a new headquarters in the District, and it is asking Congress for $245 million to get there — or at least hold some money in case it does. The agency has asked for the money in the …

May 27, 2017 at 06:18AM

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SEC official urges companies issuing tokens to protect investors – Reuters

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Reuters

SEC official urges companies issuing tokens to protect investors Reuters NEW YORK Companies creating and issuing tokens to raise capital for their projects have a responsibility to protect their investors, said a U.S. Securities and Exchange Commission official on Tuesday, the first public comments on the issue made by an … and more »

May 27, 2017 at 02:07AM

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SEC suspends some in-house court cases over hiring of judges – Reuters

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Reuters

SEC suspends some in-house court cases over hiring of judges Reuters WASHINGTON The U.S. Securities and Exchange Commission has suspended some of its pending in-house court cases, after a Denver-based federal appeals court found the agency had violated the Constitution in how it hired its administrative law judges. SEC in-house judges challenged in D.C. appeals court that upheld themPensions & Investments all 60 news articles »

May 27, 2017 at 02:07AM

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Freddie Mac Announces Pricing of $237.5 Million Multifamily Small Balance Loan Securitization – MarketWatch

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Freddie Mac Announces Pricing of $237.5 Million Multifamily Small Balance Loan Securitization MarketWatch … 2016, filed with the Securities and Exchange Commission (SEC) on February 16, 2017; all other reports Freddie Mac filed with the SEC pursuant to Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) since December 31, 2016, excluding … and more »

May 23, 2017 at 11:06PM

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Firms Persuade SEC on Profit Metric — WSJ – Fox Business

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Firms Persuade SEC on Profit Metric — WSJ Fox Business That outcome highlights how the complexities and nuances in corporate accounting are complicating the SEC’s job in policing earnings. For example, some companies are vulnerable to customer lawsuits that blur the line between an occasional expense and …

May 23, 2017 at 12:33PM

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SEC flexes muscles against man who faked Fitbit news – Compliance Week (subscription) (blog)

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LeapRate

SEC flexes muscles against man who faked Fitbit news Compliance Week (subscription) (blog) The Securities and Exchange Commission has filed fraud charges against a Virginia-based mechanical engineer it accuses of scheming to manipulate the price of Fitbit stock with a phony regulatory filing. According to the SEC’s May 18 complaint, Robert W. SEC charges fake filer with manipulating Fitbit stock – LeapRateLeapRate Man Accused of Making Phony Bid for Fitbit – – CFO.comCFO all 6 news articles »

May 23, 2017 at 06:16AM

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