Law Blog Category: Securities Attorney
SEC Announces Enforcement Results For Fiscal Year-End 2016
On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the SEC filed a record 868 enforcement actions, including against companies and executives for reporting violations, misconduct by companies and gatekeepers, fraud actions and more resulting in judgments and orders totaling more than $4 Read the full article…
House Passes More Securities Legislation
March 15, 2016 in Dodd-Frank Act, FINRA, Rule 144, SEC, Securities Attorney, Securities Attorneys, The FAST Act, Uncategorized
SEC Advisory Committee Recommendations Related To Finders
November 24, 2015 in Finder's Fees, FINRA, FINRA Compliance, SEC, SEC Guidance, Securities Attorney, Uncategorized
SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings
October 13, 2015 in Crowdfunding, Intrastate Crowdfunding, Intrastate Offering, JOBS ACT, JOBS ACT and Crowdfunding, Rule 147, SEC, SEC Advisory Committee, Securities Attorney, Uncategorized
SEC Issues Investor Alert Warning That Fantasy Stock Trading Websites May Violate Securities Laws
September 15, 2015 in SEC, SEC Guidance, SEC Investor Alert, Securities Attorney, Securities Attorneys, Securities Law Firm, Uncategorized
SEC Has Adopted Final Pay Ratio Disclosure Rules
September 08, 2015 in Pay Ratio Disclosure Rules, SEC, Securities Attorney, Securities Attorneys, Uncategorized
A Summary Of The 2015 Amendments To The Nevada Revised Statutes
SEC Proposed Executive Compensation Clawback Rules
August 03, 2015 in C&DI, Clawback Rules, SEC, Securities Attorney, Securities Attorneys, Securities Law Firm, Uncategorized