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SEC | SEONewsWire.net
Tag: SEC

Father and son charged with fraud over tribal bonds

A father and son are facing criminal and securities charges over allegedly fraudulent investments in Native American tribal bonds. The U.S. Attorney’s office announced criminal charges against Jason and John Galanis and five other individuals. In a parallel action, the

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Fraud in the Oil Patch – Oil and Gas Investors Should Be Wary

The United States is experiencing an oil boom.  As with every boom, hucksters are busy designing clever schemes to steal money from eager oil and gas investors. Federal officials recently accused Halek Energy, LLC with swindling 300 investors out of

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FINRA Issues Investor Alert on Private Placements

A new investor alert has been issued by the Financial Industry Regulatory Authority. The alert warns investors that private placements are risky and can tie up funds for a significant period of time. A private placement is an offering of

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The SEC’s Proposed Crowdfunding Rules

On October 23, 2013, the Securities and Exchange Commission (the “SEC”) proposed rules under the Jumpstart Our Business Startups Act (the “JOBS Act”) to permit companies to offer and sell securities through crowdfunding.1 Historically, because offers and sales of securities

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The SEC Approves Final Rules Regarding General Solicitation and General Advertising in Rule 506(c) Offerings

Pursuant to Section 201(a) of the Jumpstart Our Business Startups Act (the “JOBS Act”), on July 10, 2013, the Securities and Exchange Commission (the “SEC”) approved final rules to eliminate the prohibition on general solicitation and general advertising* in securities

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SEC Issues Rules Requiring Broker-Dealers to Search For Lost Securities Holders

The Securities and Exchange Commission (SEC) has issued new rules for broker-dealers requiring them to search for securities holders if they lose contact with them.  The rules require for the first time that broker-dealers attempt to find securities holders that

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FINRA Took Significant Action in 2012

The Financial Industry Regulatory Authority (FINRA), the independent regulator of securities firms, accomplished much in 2012 in the areas of detecting fraud, developing cross-market surveillance and improving transparency in securities markets.  The regulator also assessed $68 million in fines and

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SEC Changes Net Worth Definition of Accredited Investor

The Securities and Exchange Commission recently changed policies to exclude home value from net worth as it determines whether an individual can invest in some securities offerings that are unregistered. SEC rules allow some people to qualify for limited and

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SEC Suggests Cybersecurity Disclosures

A new guidance document from the Securities and Exchange Commission may cause some companies to rethink their approach when disclosing cybersecurity risks. The SEC’s Division of Corporate Finance issued the guidance document, which is not a new regulation, to offer

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House Passes Bills that Loosen Regulation and Encourage Capitalization

Four bills that reduce regulatory red tape and could make it easier for small businesses to raise capital have passed in the U.S. House of Representatives and are waiting in the Senate for approval. Two of those bills deal specifically

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