Tag: unregistered securities

The SEC continued Operation Shell-Expel this week, suspending trading in the shares of 128 OTC issuers bringing its total for the program to about 8% of the shares traded in that market. The Commission also announced another whistleblower award, this …

This Week In Securities Litigation (Week ending March 6, 2015) Read More »

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The Commission resolved its actions against the PRC based affiliates of five major accounting firms for failure to produce audit work papers. The settlement contains a series of procedures designed to facilitate production in the future tied to the MOU …

This Week In Securities Litigation (Week ending February 12, 2015) Read More »

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