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Although staff recommendations cannot serve as the foundation for an SEC enforcement action, care requirements have been a growing part of the regulator's recent enforcement actions against advisors
Securities and Exchange Commission issued 1.9 million whistleblower award. Agency granted award to individual whose whistleblower disclosure contributed to successful enforcement action. SEC monetary awards for voluntarily original information leads to successful enforcement
Federal District Court Judge granted summary judgment for Securities and Exchange Commission against LBRY. For FinTech companies hoping to avoid SEC enforcement action, decision suggests companies with digital assets may satisfy Howey test for investment contract securities.
The U.S. Securities and Exchange Commission SEC issued a $400,000 whistleblower award to an individual who provided the agency with information that led to both a successful SEC enforcement action and a Related Action by another federal agency.
That's a misdemeanor. a felony requires some greater knowledge. consider this, you have the s.e.c. involved, too. almost inevitably where you are saying in effect the skyway was six miles from the lincoln tunnel and that's an access road to the lincoln tunnel? there will be s.e.c. enforcement action. >> but with that's not the case. it's transparently inaccurate to say that's an access route to the lincoln tunnel when it goes to the holland tunnel. >> this is an easy case. certainly at the s.e.c. level. they will bring the case and that will be an ugly picture for everybody concerned. >> nicho...