The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volatility-related indices, which led S&P DJI to… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
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SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions
The Securities and Exchange Commission today announced an award to a whistleblower totaling more than $28 million in connection with an SEC enforcement action and a related action by another federal agency. The whistleblower’s information caused… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
Check out this week’s thematic stock highlights, including Activision Blizzard…
Artificial Intelligence Selects Activision Blizzard As A Thematic Stock Highlight This Week —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
SEC Awards $31 Million to Whistleblowers
The SEC has announced whistleblower awards to four individuals totaling more than $31 million. In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and assistance during an existing investigation, including meeting with the staff in person on multiple days. […]
Faith-Based Investing Makes Up Ground in Gains and Convenience…
Faith-Based Investing Makes Up Ground in Gains and Convenience #securitieslawyer http://feedproxy.google.com/~r/Seclaw/~3/h8MjX4Ws3lI/faith-based-investing-makes-up-ground.html #securitiesattorney #seclaw—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Trading Stock Tips on TikTok, Newbies Are Deeply Invested in Learning…
Trading Stock Tips on TikTok, Newbies Are Deeply Invested in Learning #securitieslawyer —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
The SEC charged eight companies for failing to disclose in SEC Form 12b-25 filings that their request for seeking a delayed quarterly or annual reporting filing was caused by an anticipated restatement or correction of prior financial reporting. The violations were uncovered by an initiative focused on Form 12b-25 filings […]
SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
The SEC has charged Israeli-based Spot Tech House Ltd., formerly known as Spot Option Ltd., and two of its former top executives, Malhaz Pinhas Patarkazishvili (also known as Pini Peter) and Ran Amiran, with deceiving U.S. investors out of more than $100 million through fraudulent and unregistered online sales of […]
SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
The SEC has announced awards totaling more than $3 million to two whistleblowers in separate enforcement proceedings. In the first order, the SEC awarded approximately $3.2 million to a whistleblower who alerted SEC staff to violations, identified key issues for staff to focus on, and provided subject matter expertise to […]
SEC Fast Answer – Removing Restrictive Legends
“Restricted” securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer. They typically bear a “restrictive” legend clearly stating that you may not resell them in the public marketplace unless the sale is exempt from the SEC’s registration requirements. Rule 144 under […]
