SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
(a) Exemption for transactions with portfolio affiliates. A transaction to which a fund, or a company controlled by a fund, and a portfolio affiliate of ...
Securities Exchange Act of 1934Section 20A -- Liability to Contemporaneous Traders for Insider TradingPrivate rights of action based on contemporaneous tradingAny person who violates any ...
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings
In rule document 2019–12164, appearing on pages 33318 through 33492, in the issue of Friday, July 12, 2019 make the following corrections: 1. On page ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-38387; IC-22553; FR-49; File No. S7-20-96].RIN 3235-AG7IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT ...
The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...
Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (the “Hedge Fund”) ...