disclosure – SEC ACTIONS

This Week In Securities Litigation (Week of Oct. 21, 2019)

Posted on October 21, 2019 by T. Gorman Posted in SECActions

A look forward; a look back: This week the Commission proposed additional rules to simplify and expedite procedures. This time the focus is on Investment Companies and certain procedures regarding exemptions. The agency also invited exchanges and others to comment …

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Tagged with: crypto currency, disclosure, manipulation, SEC

The SEC’s Drive to Year End: Large Groups of Cases Filed, Part II

Posted on October 02, 2019 by T. Gorman Posted in SECActions

The Commission appears to have made the typical year end push to file cases. Yesterday Part I of this series reviewed a number of those actions, primarily civil injunctive actions filed on the last day of the fiscal year. This …

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Tagged with: disclosure, FCPA, SEC

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This Week In Securities Litigation (Week of Oct. 21, 2019)

The SEC’s Drive to Year End: Large Groups of Cases Filed, Part II