Securities Lawyer Blog l Going Public Blog

SEC Issues Rule 147 Intrastate Crowdfunding Guidance – Posted by Brenda Hamilton

April 27, 2017

SEC Charges Justin Meadlin of Hyaline Capital Management

April 27, 2017

What is a NYSE Designated Market Maker? Posted by Brenda Hamilton

April 26, 2017

SEC Announces Temporary Trading Suspension of Sunshine Capital

April 25, 2017

SEC Announces Temporary Trading Suspension of Bingo Nation

April 24, 2017

SEC Charges Lucita Zamoras with Operating a Fraudulent Promissory Note Scheme

April 23, 2017

SEC Charges Michael Shumway with Securities Fraud

April 22, 2017

SEC Obtains Injunction and Asset Freeze Against Daniel Glick

April 21, 2017

SEC Charges Ryan Gilbertson for $30 Million Stock Manipulation Scheme

April 20, 2017

SEC Charges Lawyers Mustafa Sayid, Norman Reynolds and Paralegal Kevin Jasper in a Stock Manipulation Scheme

April 19, 2017

SEC Acquires Asset Freeze Over 4D Circle

April 18, 2017

SEC Case Against Lionshare Faud Enters Final Default Judgement

April 17, 2017

SEC Files for Stock Promotion Schemes Against 27 Individuals & Entities

April 16, 2017

SEC Charges Traders For Insider Trading – Posted by Brenda Hamilton

April 15, 2017

Judgment Entered in Safety Technologies Unregistered Securities Offering

April 15, 2017

SEC Adopts T+2 Trade Settlement Rule

March 25, 2017

SEC Charges Jerry Miller in Petrotech Oil Fraud

March 24, 2017

What is the Transfer Agent Direct Registration System (DRS)?

March 17, 2017

SEC Charges Lek Securities – Posted by Brenda Hamilton

March 16, 2017

SEC Eases Access to Exhibits in SEC Filings

March 9, 2017

SEC Uses Satellite Imagery to Charge Desarrolladora Homex

March 5, 2017

New SEC Approves Ease Access to Exhibits in SEC Filings

March 4, 2017

SEC Staff Issues Guidance and Investor Bulletin on Robo-Advisers

March 1, 2017

James P. Toner Jr Settles Fraud Charges – Posted by Brenda Hamilton

March 1, 2017

SEC Brings Cases Related to Disclosures During Battles for Corporate Control

February 28, 2017

Chinese Citizens Gain Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition

February 27, 2017

Financial Adviser Funds Lavish Lifestyle by Stealing from Client Accounts

February 26, 2017

Sidoti & Company Fined For Compliance and Trading Surveillance Failures

February 24, 2017

SEC Sues Investment Adviser Who Turned Thief

February 23, 2017

Morgan Stanley Settles Charges Related to ETF Investments

February 22, 2017

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