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Regulation FD and Securities Regulation News Feeds

Securities Law News Via RSS Feeds

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Latest RDF/RSS/ATOM Feeds

James Burns Named Deputy Director in SEC's Division of Trading and Markets in

SEC.gov Updates: Press Releases (2012/5/17 16:34:07)

FOR IMMEDIATE RELEASE 2012-96 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that James R. Burns will become a Deputy Director in the Division of Trading and Markets. Mr. Burns will oversee several of the D ...

Erica Williams Named SEC's Deputy Chief of Staff in

SEC.gov Updates: Press Releases (2012/5/17 16:34:07)

FOR IMMEDIATE RELEASE 2012-97 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that Erica Williams will become the agency’s Deputy Chief of Staff. Ms. Williams has been a member of Chairman Schapiro’s sta ...

SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies in

SEC.gov Updates: Press Releases (2012/5/17 15:37:02)

FOR IMMEDIATE RELEASE 2012-95 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a Seattle-based investment adviser and his firm with defrauding clients by secretly investing their money in two risky start-up com ...

SEC Charges New Jersey Man in Real Estate Investment Scam in

SEC.gov Updates: Press Releases (2012/5/17 13:17:02)

FOR IMMEDIATE RELEASE 2012-94 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a New Jersey man with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of p ...

NYSE to Suspend Trading in Qiao Xing Mobile Communication Co. and Moves to Delist in

NYSERegulation.com News Releases (2012/5/17 12:00:00)

SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme in

SEC.gov Updates: Press Releases (2012/5/16 16:00:12)

FOR IMMEDIATE RELEASE 2012-93 Washington, D.C., May 16, 2012 — The Securities and Exchange Commission today charged a Hawaii resident and two firms he used to orchestrate a scheme in which he covertly founded small companies, installed managem ...

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX in

Twitter / FINRA_News (2012/5/16 13:36:23)

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX

Proxy Fee Advisory Committee Proposes Recommendations on Proxy Distribution Fees in

NYSERegulation.com News Releases (2012/5/16 12:00:00)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB in

Twitter / FINRA_Education (2012/5/16 10:56:51)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh in

Twitter / FINRA_News (2012/5/16 10:16:02)

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh

SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family in

SEC.gov Updates: Press Releases (2012/5/14 15:38:44)

FOR IMMEDIATE RELEASE 2012-92 Washington, D.C., May 14, 2012 – The Securities and Exchange Commission today charged a China-based natural gas company and an executive for defrauding investors by secretly loaning company funds to benefit his son an ...

SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams in

SEC.gov Updates: Press Releases (2012/5/14 9:30:00)

FOR IMMEDIATE RELEASE 2012-91 Washington, D.C., May 14, 2012 — The Securities and Exchange Commission today suspended trading in the securities of 379 dormant companies before they could be hijacked by fraudsters and used to harm investors thr ...

Ignoring the Mandatory: Rule 11 Inquiries Under PSLRA in

All Publications (2012/5/13 20:00:00)

Instructions for Submitting Draft Registration Statements for Confidential/Non-public Review in

SEC.gov Updates: What's New in the Division of Corporation Finance (2012/5/11 15:03:06)

Jumpstart Our Business Startups Act: Division update regarding submission of draft registration statements for confidential review under the JOBS Act and non-public review under the Division’s policy for certain foreign private issuers in

SEC.gov Updates: What's New in the Division of Corporation Finance (2012/5/11 15:03:06)

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Latest Regulation FD and Securities Regulation News Feeds

James Burns Named Deputy Director in SEC's Division of Trading and Markets (2012/5/17)

FOR IMMEDIATE RELEASE 2012-96 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that James R. Burns will beco...

Erica Williams Named SEC's Deputy Chief of Staff (2012/5/17)

FOR IMMEDIATE RELEASE 2012-97 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that Erica Williams will beco...

SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies (2012/5/17)

FOR IMMEDIATE RELEASE 2012-95 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a Seattle-based investment advi...

SEC Charges New Jersey Man in Real Estate Investment Scam (2012/5/17)

FOR IMMEDIATE RELEASE 2012-94 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a New Jersey man with operating...

NYSE to Suspend Trading in Qiao Xing Mobile Communication Co. and Moves to Delist (2012/5/17)

SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme (2012/5/16)

FOR IMMEDIATE RELEASE 2012-93 Washington, D.C., May 16, 2012 — The Securities and Exchange Commission today charged a Hawaii resident and two f...

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX (2012/5/16)

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX

Proxy Fee Advisory Committee Proposes Recommendations on Proxy Distribution Fees (2012/5/16)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB (2012/5/16)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh (2012/5/16)

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh

SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family (2012/5/14)

FOR IMMEDIATE RELEASE 2012-92 Washington, D.C., May 14, 2012 – The Securities and Exchange Commission today charged a China-based natural gas compa...

SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams (2012/5/14)

FOR IMMEDIATE RELEASE 2012-91 Washington, D.C., May 14, 2012 — The Securities and Exchange Commission today suspended trading in the securities...

Ignoring the Mandatory: Rule 11 Inquiries Under PSLRA (2012/5/13)

Instructions for Submitting Draft Registration Statements for Confidential/Non-public Review (2012/5/11)

More...

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