Author Archives: ls-team

FINRA Receives SEC Approval to Require Member Firms to Report Treasury Transactions to TRACE

FINRA Receives SEC Approval to Require Member Firms to Report Treasury Transactions to TRACE For [...]

Insider Trading During and After Board Meeting – SEC Charges Board Member

FOR IMMEDIATE RELEASE 2016-222 Washington D.C., Oct. 21, 2016 —The Securities and Exchange Commission today [...]

Aaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office

FOR IMMEDIATE RELEASE 2016-207 Washington D.C., Sept. 30, 2016 — The Securities and Exchange Commission [...]

Marijuana-Related Company Charged with Scheming Investors

FOR IMMEDIATE RELEASE 2016-186 Washington D.C., Sept. 16, 2016 —The Securities and Exchange Commission today [...]

SEC Whistleblower Program Surpasses $100 Million in Awards

FOR IMMEDIATE RELEASE 2016-173 Washington D.C., Aug. 30, 2016 —The Securities and Exchange Commission’s awards [...]

SEC updates Form N-MFP Technical Specs! Oh My!

Notice to Form N-MFP Filers 07/11/2016 11:45 AM EDT   Date of Notice: July 11, [...]

Regulation A+ and Section 12(a)(2) Liability

Does Regulation A+ provide an easier route to file suit against an issuer for material [...]