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Stocks Securities and Exchange Commission (SEC) Stock Trades

Stinson - Corporate & Securities Law Blog

SEC Says Fantasy Stock Trading Violates Securities Laws; Charges Others for Selling Illegal Security-Based Swaps

The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank Act. I bet the Congressional drafters of these provisions...more

Cooley LLP

Blog: A Hug Before They Both Exit: Commissioners Aguilar And Gallagher Present Joint Recommendations For New Transfer Agent Rules

Cooley LLP on

Here’s a novel pairing: SEC Commissioners Aguilar and Gallagher, both of whom are scheduled to leave their posts at the SEC, issued a joint statement on June 11th about the need to modernize the SEC’s transfer agent rules,...more

Katten Muchin Rosenman LLP

SEC Orders Securities Exchanges and FINRA to Develop Tick Size Pilot Plan

The Securities and Exchange Commission has issued an order directing certain national securities exchanges and the Financial Industry Regulatory Authority, Inc. to jointly develop and file with the SEC a national market...more

Butler Snow LLP

Selling Stock Through the President’s Desk Drawer

Butler Snow LLP on

Look inside the desk drawer of many, if not most, community bank presidents and you will find a list of the names of individuals who want to buy or sell the bank’s stock. ...more

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