On August 4, the Securities and Exchange Commission’s Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements. In the Alert, the Office...more
In this issue:
- SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements
- ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs
- Consumer Financial...more
8/18/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Derivative Suit ,
EU ,
European Securities and Markets Authority (ESMA) ,
Federal Savings Associations ,
Financial Conduct Authority (FCA) ,
Fraud ,
Immigration and Customs Enforcement (ICE) ,
OCC ,
OCIE ,
PSLRA ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Virtual Currency
On November 14, Securities and Exchange Commission Chair Mary Jo White delivered a letter to Representative Scott Garrett, Chairman of the House of Representatives Subcommittee on Capital Markets and Government-Sponsored...more
On October 9, the Securities and Exchange Commission launched a new website (www.sec.gov/marketstructure) designed to provide investors and other market participants with the ability to analyze market metrics and to access...more
On July 23, the US District Court for the District of Columbia issued a decision granting the Securities and Exchange Commission’s motion for summary judgment in a challenge to the SEC’s “conflict minerals” rule that was...more
On July 2, the US District Court for the District of Columbia vacated the resource extraction issuer disclosure rule that the Securities and Exchange Commission adopted last year in accordance with mandates under the...more
On May 30, the Division of Corporation Finance of the Securities and Exchange Commission issued responses to frequently asked questions regarding the disclosure of conflict mineral usage and payments by resource extraction...more
On March 4, the Securities and Exchange Commission published notice that The NASDAQ Stock Market LLC (NASDAQ) had filed a proposed new rule that would require each NASDAQ-listed issuer to maintain an internal audit function....more
The National Association of Manufacturers, the Chamber of Commerce of the United States of America and Business Roundtable recently filed their opening brief with the US Court of Appeals for the District of Columbia Circuit...more