Securities Law

S.E.C. Suggests Reforms Of Municipal Bond Market – New York Times

As a practical matter, Congress does not typically amend the federal securities laws unless faced with a crisis. “The question now is, Are the Treasury, the White House and the Fed going to be supporting the S.E.C. in this request, … Continue reading

OSC Panel Issues Sanctions Against Lyndz Pharmaceuticals Inc., James Marketing Ltd., Michael Eatch and … – Yahoo Finance

TORONTO, Aug. 1, 2012 /CNW/ – A panel of the Ontario Securities Commission (OSC) today released its reasons and decision on sanctions and costs against Lyndz Pharmaceuticals Inc., James Marketing Ltd., Michael Eatch and Rickey McKenzie (“the Respondents”).

Prophecy Platinum Closes $7.25 Million Placement – NBCNews.com

The securities have not been and will not be registered under the United States Securities Act of 1933, as amended (“the U.S. Securities Act”) or any state securities law and may not be offered or sold in the United States … Continue reading

FINRA expels firm over day-trading violations – CBS News

among other securities law violations. The Financial Industry Regulatory Authority also barred Peter Beck, Biremis Corp.’s president and chief executive. Beck and Biremis, which was formerly known as Swift Trade Securities USA Inc., consented to having the …

FINRA expels firm over day-trading violations – AP – NBCNews.com

among other securities law violations. The Financial Industry Regulatory Authority also barred Peter Beck, Biremis Corp.’s president and chief executive. Beck and Biremis, which was formerly known as Swift Trade Securities USA Inc., consented to having the …

Law Offices of Howard G. Smith Announces Investigation On Behalf of Shareholders of Suntech Power Holdings Co., Ltd. – Yahoo Finance

Law Offices of Howard G. Smith announces that it is investigating potential claims against Suntech Power Holdings Co., Ltd. (“Suntech” or the “Company”) (STP) concerning possible violations of federal securities laws. The investigation …

Investor advocates to meet with Treasury on JOBS Act concerns – Reuters

Other expected attendees include the AFL-CIO, several law professors, the AARP, Americans for Financial Reform, and state securities regulators, among others, the person said. The new law reduces certain regulatory requirements for companies …

Investor advocates to meet with Treasury on JOBS Act concerns – Reuters UK

Other expected attendees include the AFL-CIO, several law professors, the AARP, Americans for Financial Reform, and state securities regulators, among others, the person said. The new law reduces certain regulatory requirements for companies …

SEC seeks more investor protections for muni market – Reuters

The SEC enforces rules for the market that are written by a self-regulatory organization made up of banks, issuers and advisers called the Municipal Securities Rulemaking Board. Various laws have limited the SEC’s ability to oversee states and …

SEC Loses Lawsuit Against Ex-Citigroup Official Stoker – Businessweek

The SEC had accused Stoker, the former director of Citigroup’s collateralized debt obligation structuring group, of violating securities law in putting together the assets underlying a $1 billion CDO. The SEC claimed New York-based Citigroup …