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Securities Exchange Act › Price Manipulation

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Seward & Kissel LLP

SEC Charges Publisher for Manipulation Scheme Targeting Retail Investors

Seward & Kissel LLP on

Who may be interested: Investment Advisers - Quick Take: The SEC filed a complaint in federal court charging activist short publisher Andrew Left and Citron Capital, LLC, an investment adviser he operated, with securities...more

Paul Hastings LLP

Closing in on Security-Based Swaps – SEC Finalizes Antifraud Rules

Paul Hastings LLP on

On June 7, 2023, the Securities and Exchange Commission adopted final rule 9j-1 (“Rule 9j-1”)1 under the Securities Exchange Act of 1934 (the “Act”). Rule 9j-1 is designed to prevent fraud, manipulation, and deception in...more

Allen Matkins

California Legislature Mulls Anti-Short Selling Bill

Allen Matkins on

In April, I wrote about a bill, SB 726 (Hueso), that would have added a new section to the Corporate Securities Law banning false statements to government officials for the purpose of manipulating the price of a company’s...more

Katten Muchin Rosenman LLP

SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme

Katten Muchin Rosenman LLP on

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating stocks of medical marijuana microcap companies. According to the proposed...more

Stinson - Corporate & Securities Law Blog

CFTC Pushes Dodd-Frank Boundaries With Manipulation Case

Stinson - Corporate & Securities Law Blog on

In the first case of its kind, the CFTC has accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to Section 6(c)(1) of the Commodities Exchange Act and Regulation 180.1 promulgated...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Commission brought two FCPA cases this week, one of which was in conjunction with the DOJ. Both centered on the payments for gifts and travel in China. In addition, the SEC filed three manipulation cases, an action...more

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