Last week, the U.S. Supreme Court paved a path for petitioners to assert constitutional challenges to the structure of U.S. Securities and Exchange Commission (“SEC”) and U.S. Federal Trade Commission (“FTC”) administrative...more
On October 26, 2022, the Securities and Exchange Commission, in a 3-2 vote, adopted a new rule, Exchange Act Rule 10D-1. Rule 10D-1 directs national securities exchanges adopt listing standards to require all issuers...more
11/30/2022
/ Clawbacks ,
Dodd-Frank ,
Enforcement Actions ,
Executive Compensation ,
Financial Statements ,
Incentive Compensation ,
New Rules ,
Professional Misconduct ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Like Elsa, the Princess in Disney’s classic Frozen, once again the Securities and Exchange Commission (SEC) has utilized its power to freeze. In this case, the freezing of assets. In what has become an increasingly common...more
10/12/2017
/ Asset Freeze ,
Civil Monetary Penalty ,
EB-5 ,
Enforcement Actions ,
Foreclosure Sales ,
Foreign Investment ,
Green Cards ,
Investors ,
Misallocation of Funds ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
The flurry of federal suits filed by the U.S. Securities and Exchange Commission (SEC) in the past few months against several companies and individuals for alleged fraud and false statements in soliciting foreign investors...more
A witness testifying under oath before the SEC recently refused to answer any questions directed to him, not because of any privilege, but rather — as he said, sixty-eight different times – because he was “scared” and...more