About Gilbert J. Bradshaw

Transactional attorney concentrating in securities and tax law

Rick A. Fleming, Investor Advocate U.S. Securities and Exchange Commission [1] MSRB Municipal Securities Regulator Summit Washington, D.C. Aug. 25, 2016 Thank you, Lynnette [Kelly], for that kind introduction and for inviting me to participate in your event today.  It has been a pleasure to spend time with a variety of regulators who are on the…

Andrew J. Ceresney, Director, Division of Enforcement Oct. 13, 2016 Keynote Address at Securities Enforcement Forum 2016 Introduction Good afternoon and thank you for that very kind introduction.  It’s a pleasure to speak with you all today.  Before I start, I must give our standard disclaimer that the views I express today are my own…

Rick A. Fleming, Investor Advocate XBRL US Investor Forum 2016: Finding Value with Smart Data New York, New York Oct. 24, 2016 Thank you, Campbell [Pryde], for that kind introduction and for inviting me to participate in this forum today. For more than 80 years, our securities laws have required sellers of securities to disclose all…

FOR IMMEDIATE RELEASE 2017-80 Washington D.C., April 14, 2017— The Securities and Exchange Commission today announced an emergency court order to freeze assets in two brokerage accounts used last week to reap more than $1 million in alleged insider trading profits in connection with a merger announcement by telecommunications companies. According to the SEC’s complaint…

Wesley R. Bricker, Chief Accountant Keynote Address before the 2016 AICPA Conference on Current SEC and PCAOB Developments Washington, D.C. Dec. 5, 2016 The Securities and Exchange Commission (“SEC” or “Commission”), as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed herein are those…

Rick A. Fleming, Investor Advocate U.S. Securities and Exchange Commission[1] The SEC Speaks in 2017 Washington, D.C. Feb. 24, 2017 Good afternoon. Thank you, Dave (Grim), for your kind introduction. It is a pleasure to be speaking at my third SEC Speaks conference, which happens to fall on the three-year anniversary of my appointment as…

Acting Chairman Michael S. Piwowar Washington D.C. March 23, 2017 Thank you, Larry [Glosten], for that kind introduction.[1] I also want to thank you, Merritt Fox, and Edward Greene — the directors of Columbia University’s Program in the Law and Economics of Capital Markets — for all that you do to advance informed capital markets…

27 Firms and Individuals Charged With Fraudulent Promotion of Stocks FOR IMMEDIATE RELEASE 2017-79 Washington D.C., April 10, 2017— The Securities and Exchange Commission today announced enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes that left investors with the impression they were reading independent, unbiased analyses on investing websites while…

Acting Chairman Michael Piwowar Washington D.C. March 27, 2017 Thank you, Paul [Leder], for that warm introduction. Welcome to the SEC’s 27th Annual International Institute for Securities Market Growth and Development. Thank you for being our guests over the next two weeks. It is our honor to host you. The reason why I am so…

FOR IMMEDIATE RELEASE 2017-78 Washington D.C., April 5, 2017— The Securities and Exchange Commission today announced that it has adopted amendments to increase the amount of money companies can raise through crowdfunding to adjust for inflation.  It also approved amendments that adjust for inflation a threshold used to determine eligibility for benefits offered to “emerging…

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