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Results: 1-10 of 2,137

CEO, CFO charged in SEC financial fraud action

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 2 2014

Since the formation of the financial task force, and its related data group, there has been speculation regarding the focus of the new program and

This week in securities litigation (week ending August 28, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 28 2014

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also

The return of BE-13, Survey of New Foreign Direct Investment in the United States

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 28 2014

Effective September 15, 2014, the Bureau of Economic Analysis (BEA) at the U.S. Department of Commerce is reinstating the reporting requirements for

SEC USAO charge IR Executive with insider trading

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 27 2014

The SEC may be developing theme based insider trading cases. In recent weeks the agency brought two insider trading actions centered on golfing

New York’s proposed regulation of Bitcoin businesses - polishing up or polishing off?

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 27 2014

Thousands of commenters on New York's proposed virtual currency regulations have had mixed reactions. The New York Department of Financial Services

SEC files financial fraud action

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 24 2014

Financial fraud is an enforcement priority of the SEC. A financial fraud task force was formed in July 2013. Its purpose is to focus on this

This week in securities litigation (week ending August 22, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 21 2014

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its

SEC request for O&D bar denied

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 20 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding

SEC brings an offering fraud action against a claimed app maker

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 19 2014

The SEC brought an action against a reputed "app" manufacturer who sold shares in two different entities beginning first in Colorado and later from

SEC brings another insider trading case tied to golf

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 18 2014

Golf is becoming a recurring theme in insider trading cases. Last month the SEC brought an insider trading action against a group of golf friends