News & Analysis as of

Securities and Exchange Commission (SEC) Trading Suspension

Holland & Knight LLP

COVID-Related SEC Enforcement Actions Not a Thing of the Past

Holland & Knight LLP on

The sun is shining, children are out of school, families are headed off on summer vacations, and the SEC is … bringing enforcement actions against companies for 2020 fraud related to COVID-19 products. One such action was...more

Cozen O'Connor

SEC Suspends Trading in 15 Public Companies for Suspicious Social Media & Trading Activity

Cozen O'Connor on

On February 26, 2021, the Securities and Exchange Commission (SEC) issued an order that suspended the trading of securities in 15 OTC public companies due to questionable trading activity and social media promotions that the...more

Dechert LLP

SEC Enforcement Division Releases 2020 Annual Report: COVID-19 Impacts Enforcement as Whistleblower Program Boosts Enforcement

Dechert LLP on

The Enforcement Division of the Securities and Exchange Commission (Division) released its Annual Report on November 2, 2020, providing information concerning its activities over the past fiscal year and outlining key...more

BakerHostetler

SEC Announces Key Priorities and Sees No Slowdown in Enforcement Program

BakerHostetler on

On Oct. 8 and 9, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) presented its annual program, The SEC Speaks in 2020. The Commission touted its virtual enforcement results, particularly in Chairman...more

Faegre Drinker Biddle & Reath LLP

SEC Continues to Prioritize COVID Fraud Cases

On September 25, 2020, the SEC filed a civil injunctive action against a microcap company, Arrayit Corp., and its President and Chief Science Officer for falsely stating in March-April 2020 that Arrayit had developed a...more

Morgan Lewis

SEC Enforcement Division: COVID-19-Related Enforcement Matters and What Lies Ahead

Morgan Lewis on

In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top...more

Mayer Brown Free Writings + Perspectives

SEC Director Summarizes COVID-19 Enforcement Actions

On May 12, 2020, Steven Peikin, the Co-Director of the Securities and Exchange Commission’s Division of Enforcement (the “Division”), remotely presented a keynote address at the Securities Enforcement Forum summarizing...more

Perkins Coie

SEC Alleges COVID-19 Related Fraud by a Company after Suspending Trading

Perkins Coie on

On April 28, 2020, the U.S. Securities and Exchange Commission (“SEC”) filed a complaint against a company and its chief executive officer (“CEO”) for alleged fraud in connection with the company’s stated response to the...more

ArentFox Schiff

Investigations Newsletter: SEC Adopts Aggressive Approach to COVID-19 Fraud

ArentFox Schiff on

SEC Adopts Aggressive Approach to COVID-19 Fraud - The US Securities and Exchange Commission has already initiated multiple investigations into companies seeking to illegally profit from the global coronavirus pandemic...more

Perkins Coie

SEC’s Use of Trading Suspensions During the COVID-19 Pandemic and Considerations for Issuers and Broker-Dealers

Perkins Coie on

Since the start of the COVID-19 pandemic in the United States, the U.S. Securities and Exchange Commission (SEC) has increasingly exercised its authority under the Securities Exchange Act of 1934 (the Exchange Act) to suspend...more

Burr & Forman

SEC Suspends Trading in 7 OTC Stocks in 4 Days Over COVID Claims

Burr & Forman on

In the past week, the Securities and Exchange Commission has suspended trading in five separate over-the-counter (“OTC”) stocks due to dubious COVID claims or related identity confusion....more

Perkins Coie

Blockchain Week in Review – August 2017 #6

Perkins Coie on

Below is a summary of some of the significant legal and regulatory actions that occurred over the past week. This alert is not intended to be a comprehensive list of all such developments, but rather a selection of...more

Stinson - Corporate & Securities Law Blog

SEC Suspends Regulation A+ Offering

In the first action of its kind, the SEC has temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The $15 million continuous offering of common stock was qualified by the SEC on November 3, 2015. ...more

Alston & Bird

Changes to the NYSE’s Material New's Policy

Alston & Bird on

On August 27, 2015, the New York Stock Exchange (NYSE) filed a proposed rule change with the U.S. Securities and Exchange Commission (SEC) to amend Section 202.06 of the NYSE Listed Company Manual to expand the time periods...more

Goodwin

NYSE Amends Rules for Release of Material News

Goodwin on

Changes to Notification Requirements - Notifications During Pre-Market Hours. Currently, Rule 202.06 requires listed companies to notify the NYSE at least 10 minutes before they release material news “shortly before the...more

Morrison & Foerster LLP - JOBS Act

NYSE Rule Change to Effect Issuers Public Announcements

On August 27, 2015, the New York Stock Exchange (the “NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) a proposed change to Section 202.06 of the NYSE Listed Company Manual (the...more

Cooley LLP

Blog: NYSE Proposes Amendment Related To Material News And Trading Halts

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The NYSE has filed with the SEC a proposal to amend Section 202.06 of the NYSE Listed Company Manual related to material news and trading halts. The proposal would make the following changes.....more

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