On Oct. 7, 2020, the Securities and Exchange Commission (SEC) proposed a conditional exemption from the broker registration requirements of Section 15(a) of Securities Exchange Act of 1934 to allow “finders” who are natural...more
On Oct. 16, 2018, the Securities and Exchange Commission (the “SEC”) released a cautionary report discussing whether certain public companies that had become victims of cyber-related fraud may have violated federal securities...more
10/30/2018
/ Accounting Controls ,
Cyber Crimes ,
Cybersecurity ,
Email ,
Enforcement ,
Fraud ,
Information Reports ,
Internal Controls ,
Publicly-Traded Companies ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The price of bitcoin is down nearly 80 percent since January 2018. Many other cryptocurrencies are down with it and investors are bearish about the future of digital assets. Atop such industry concerns, three recent...more
9/17/2018
/ Bitcoin ,
Broker-Dealer ,
Cryptocurrency ,
Enforcement Actions ,
Initial Coin Offering (ICOs) ,
Misrepresentation ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Token Sales ,
Unregistered Securities
Public companies with securities listed on the NASDAQ Stock Market or the New York Stock Exchange should take note of the approaching deadline for complying with the final portions of the new compensation committee...more