Securities & Finance Category

mickelson case

Mickelson Case Reflects Insider Trading in ...

May 30, 2016No Comments704 Views

What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters.

Securities and Exchange Commission Seeks to Facilitate Intrastate and Regional Securities Offerings

New Rules To Facilitate Intrastate and Regi...

Dec 08, 2015No Comments1064 Views

Securities and Exchange Commission Seeks to Facilitate Intrastate and Regional Securities Offerings When the Securities and Exchange Commission (SEC) announced its finalized crowdfunding regulations in

Here are the top trends to watch from the Securities and Exchange Commission annual whistleblower report

Annual Whistleblower Report Issued By The S...

Dec 02, 2015No Comments694 Views

Here are the top trends to watch from the Securities and Exchange Commission annual whistleblower report The Securities and Exchange Commission (SEC) recently issued its

http://scarincihollenbeck.com/affordable-care-act-to-see-minor-changes/

Ban Class-Action Waivers in Consumer Financ...

Oct 26, 2015No Comments651 Views

The Consumer Financial Protection Bureau (CFPB) is moving forward on plans to ban companies from including arbitration clauses that block class action lawsuits in their

administrative proceedings

SEC Proposes Changes to Administrative Proc...

Oct 21, 2015No Comments750 Views

After coming under fire for using the forum to secure an unfair home court advantage, the Securities and Exchange Commission (SEC) recently proposed amendments to

U.S. Supreme Court decisions influence the Securities Market

Do Supreme Court Decisions Influence the Se...

Sep 15, 2015No Comments666 Views

Can U.S. Supreme Court decisions influence the Securities Market? The impact of U.S. Supreme Court decisions is often far-reaching. However, as highlighted in a recent

The Securities and Exchange Commission has been moving more aggressively to state the types of activities that will result in a determination that a “finder” is acting as a securities broker-dealer.

“Finders” Acting As a Securities Broker...

Sep 11, 2015No Comments836 Views

The Securities and Exchange Commission has been moving more aggressively to state the types of activities that will result in a determination that a “finder”

whistleblower

SEC Clarifies Whistleblower Provisions

Aug 19, 2015No Comments752 Views

The Securities and Exchange Commission (SEC) recently published guidance that clarifies who qualifies as a whistleblower under the Dodd-Frank Act. The agency elected to clarify

SEC Enforcement

Chamber of Commerce Calls for SEC Enforceme...

Aug 10, 2015No Comments628 Views

In a recently published report, the U.S. Chamber of Commerce called for several significant changes to the Securities and Exchange Commission’s or SEC enforcement policies

dark pools

Danger in the Water: Regulators Turning Att...

Jul 17, 2015No Comments661 Views

Securities regulators are increasingly turning their attention to dark pools, which are far less regulated than traditional exchanges. The European Union’s (EU) new rules will