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updated Fri. April 27, 2018

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The 2018 NFL Draft is right around the corner, which means the SEC is close to ushering in another round of top-tier talent to the NFL. That's according to NFL.com's Charley Casserly 2018 NFL mock draft. Casserly predicts 11 players from the SEC will hear their names called in the first round of April's NFL ...
Rep. Charles Young, D-Meridian, reads from the Mississippi legislature's joint rules and constitutional provisions of the Mississippi Senate and House, regarding possession of a weapon of a firearm while in the Capitol prior to holding up an unloaded semi-automatic pistol during a debate in the House ...

FAYETTEVILLE, Ark. - As the regular season comes to an end, the Arkansas swimming and diving team turns its attention to championship action starting Wednesday, as the Razorbacks are in College Station, Texas, for the 2018 SEC Swimming and Diving Championships. The five-day event will run ...
The U.S. Securities and Exchange Commission is investigating Miami gardens to determine whether city officials violated federal laws in connection ... Using the state's public records law, Florida Bulldog obtained city documents detailing the non-public investigation, including SEC letters asking the city to ...
A financial advisory services company that has had extensive dealings with Municipalities across Mississippi -- including the metro Jackson area -- defrauded the city of Rolling Fork, the Securities and Exchange Commission says. In a complaint filed in the U.S. District Court for the Southern District of ...
The Securities and Exchange Commission on Monday launched an initiative to waive fines against investment advisers who come forward and admit that they ... In December, the SEC filed a complaint against a Connecticut investment adviser who invested clients' money in mutual fund share classes with ...
The Securities and Exchange Commission on Monday requested a $1.66 billion budget for fiscal year 2019, a 3.5% increase over the agency's 2018 request, which would allow the securities regulator to restore 100 positions lost during the 2017 hiring freeze. The agency's annual appropriations has ...
The Securities and Exchange Commission has barred former Merrill Lynch broker Thomas J. Buck from the brokerage and investment advisory ... In a complaint filed in October, the SEC said that from 2012 through March 2015, Mr. Buck received more than $2.5 million in excessive commissions and fees ...
The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission has announced its examination priorities for 2018. This year, the OCIE's examination priorities fall within the following categories: examining compliance and risks in critical market infrastructures; ...
The SEC made clear that its offer to waive financial penalties does not apply to Advisors who fail to come forward voluntarily. The agency will "continue to proactively seek to identify and pursue investment advisers that fail to make the necessary disclosures," says Steven Peikin, co-director of the SEC's ...
The Securities and Exchange Commission (SEC) should give past initial coin offering (ICO) organizers the chance to seek remediation in light of possible violations, according to a petition filed with the agency last month. The petition was penned by Liquid M capital, a broker-dealer and fintech firm ...
The Division of Enforcement of the Securities and Exchange Commission (SEC) announced a new self-reporting initiative that "seeks to protect advisory clients from undisclosed conflicts of interest and return money to investors." Under the newly announced Share Class Selection Disclosure Initiative, ...
After rebuffing plans for exchange traded funds tied to the volatile digital currency, the Securities and Exchange Commission (SEC) is moving to increase its oversight of bitcoin. "For the first time ever, the SEC's Office of Compliance Inspections and Examinations put cryptocurrencies and initial coin offerings ...
I know I just used this opening line a few posts ago, but 2017 was truly a remarkable year in SEC enforcement. The previous year saw existential constitutional challenges to administrative enforcement, and the Supreme Court dealt a major blow to Commission requests for disgorgement in Kokesh v. SEC.
Yesterday, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities, released in order to "improve compliance, prevent fraud, monitor risk, and inform policy." OCIE announced five priorities, with Anti-money laundering ("AML") programs being one of ...

Industry experts and Pundits took to social media platforms, posting updates from the hearing which saw CFTC Chair Christopher Giancarlo and SEC Chair Jay Clayton make some highly influential statements about the current stance towards the overall cryptocurrency and Blockchain space.
On Tuesday, Feb. 6, Securities and Exchange Commission (SEC) chair Jay Clayton and Commodity Futures Trading Commission (CFTC) chair J. Christopher Giancarlo testified before the Senate's Banking, Housing and Urban Affairs committee. The hearing generally led to relief in cryptocurrency markets: ...
Securities and Exchange Commission Chairman Jay Clayton said in testimony before the committee that virtual currency markets are initial coin offerings, or ICOs, that are trading globally, largely outside the scope of regulatory scrutiny. While embracing innovation, the agency wants to ensure that Main ...
As governments and regulatory agencies around the world threaten regulation to limit cryptocurrencies, the heads of the two biggest trading venues in the United States maintained a largely conciliatory posture towards them. In their Congressional testimonies to discuss cryptocurrency regulation, SEC ...
California officials are downplaying the risks of climate change to bond investors while citing those same risks as the basis for a lawsuit against oil companies, according to a conservative think tank that has asked SECurities regulators to investigate. The Washington-based Competitive Enterprise Institute ...
"13 of the 14 SEC football teams elected to play a spring game this year." Guess who that 1 that didn't elect to play a spring game was? Yep, Vanderbilt. Only... this is all about semantics. Vanderbilt will be holding a "spring showcase" on March 25, which is the last practice of the spring, open to the public, ...
383 Total shares. Crypto market Sees Slight Rebound During SEC, CFTC Hearings. News. The crypto markets have seen a slight uptick Tuesday, Feb. 6, after Monday's sharp decline. This slight market rebound could be attributed to the Securities and Exchange Commission (SEC) and Commodity Futures ...
But if officials had sought to really make a splash, they would have undoubtedly preferred to finally declare a resolution on the long-running Securities and Exchange Commission case, which dating back to at least the 2014 event had been the source of optimistic speculation. "Where are we with that?
Professor Aaron Wright of Cardozo Law, who serves as chairman of the Enterprise Ethereum Alliance legal industry working group, commenting on the Securities and Exchange Commission's increased interest in the attorneys who have guided cryptocurrency companies through the "regulatory gray areas" ...
The written testimony from Jay Clayton, chairman of the United States Securities and Exchange Commission (SEC), was released on February 5, 2018. It comes ahead of the chairman's oral testimony before the U.S. Senate Committee on Banking, Housing and Urban Affairs on February 6, 2018, on the ...
As the Dow Jones industrial average continued seesawing Tuesday after plunging a record 1,175 points the previous day, the heads of the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission were on Capitol Hill answering lawmakers' questions about the risks posed ...
The Securities and Exchange Commission is not trying to undermine the potential benefits of cryptocurrencies but instead is trying to raise awareness that many promoters of bitcoin and other coins and tokens might be running afoul of SECurities laws, SEC Chairman Jay Clayton said Monday.
New Bills offensive coordinator Brian Daboll is bringing a member of the staff at Alabama with him to Buffalo. William Vlachos, a former All-Southeastern Conference center at Alabama, will serve as an offensive assistant, an entry level position for potential NFL coaches. He had been on the Alabama staff ...
The possibility exists, should the Cats completely collapse against that brutal schedule, that they'd even be sweating a little bit come Selection Sunday. It's not time to push that panic button, though. For now, let's just take a good look at the eight SEC teams in the best position to make the Big Dance were ...
AUBURN, Ala. -- Malik Langham has been one of the big beneficiaries of the early signing period. The one-time 3-star prospect didn't have much recruiting traction midway through his senior season. By the end of it, the defensive lineman from Huntsville, Ala., had put good enough film out there to warrant ...
Since then, the Securities and Exchange Commission chairman has elevated digital currencies to the forefront of his agenda, asserting that many of the products fall under the agency's oversight. During Clayton's tenure, the SEC has unleashed its enforcement lawyers on companies that are illicitly raising ...
Lassan believes Moorhead has a chance to "start fast" during Year 1 in Starkville and graded the hire as a B-plus. "Considering Mississippi State is the toughest job in the SEC West, hiring a coach with a background on offense and a strong reputation for innovative schemes and play designs is a home run.
One example is the Securities and Exchange Commission's (SEC) efforts to quietly give the financial industry more power over how Americans receive information about their investments. When the SEC proposed and approved Rule 30e-3, which would allow mutual funds to switch investors to electronic ...
... paperwork with the SEC. "We would normally keep our deliberations confidential until a particular course of action is determined, but because Dell Technologies owns ~82% of VMware, we are required to make a public filing with the U.S. Securities and Exchange Commission," the company stated in the ...
At the halfway point of SEC play, Arkansas is just 4-5. Precisely where SEC Country made its prediction the team would be, but probably not where hopes were after an impressive start in nonconference play. If Macon and Barford are playing over their heads, it's a troubling sign for the back half of SEC play ...
U.S. authorities are investigating Apple's (AAPL) slowing of older iPhones, according to published reports. The Wall Street Journal and Bloomberg reported Tuesday that the Department of Justice and the Securities and Exchange Commission are probing whether Apple violated securities laws.
Since then, the Securities and Exchange Commission chairman has elevated digital currencies to the forefront of his agenda, asserting that many of the products fall under the agency's oversight. During Clayton's tenure, the SEC has unleashed its enforcement lawyers on companies that are illicitly raising ...
The Senate committee on banking, housing and urban affairs will hear testimony on February 6 on regulatory oversight of virtual currencies from Securities and Exchange Commission chairman Jay Clayton, and Commodity Futures Trading Commission chairman J. Christopher Giancarlo. The hearing will ...
The heads of the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (SEC) are set to testify on cryptocurrencies during a U.S. Senate hearing next week. The Senate Committee on Banking, Housing, and Urban Affairs will meet on Feb 6. at 10 a.m. EST, with ...
The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) are investigating tech giant Apple over its admission that it released an update designed to slow down older iPhones to improve performance, Bloomberg News reported on Tuesday. The investigation reportedly centers ...
Jay Clayton, chairman of U.S. Securities and Exchange Commission (SEC) nominee for President Donald Trump, right, shakes hands with Sen. Elizabeth Warren, a Democrat from Massachusetts, after testifying during a Senate Banking Committee confirmation hearing in Washington, D.C., U.S., on ...
The U.S. Securities and Exchange Commission (SEC) is suing cryptocurrency banking company AriseBank, according to public documents. The Texas-based firm AriseBank, together with its co-founders Jared Rice Sr. and Stanley Ford, is being charged by the U.S. financial watchdog for alleged fraud and ...
BIRMINGHAM, Ala. - In one of the deepest men's tennis conferences in the country, Arkansas was selected ninth in the SEC coaches' preseason poll Tuesday. Texas A&M was selected first by the league coaches, ahead of Florida and Georgia, who tied for SECond. Arkansas travels to Athens, Georgia, this ...
Securities and Exchange Commission Chairman Jay Clayton delivered a remarkable rebuke on Monday to attorneys who have helped arrange so-called "initial coin offerings" (ICOs), which are a novel and controversial form of fundraising that involves the sale of digital tokens. Speaking at a legal gathering ...
The Securities and Exchange Commission (SEC) on Monday charged six accountants who allegedly shared and misused confidential information about planned audits of KPMG. The SEC alleges that three former employees of the Public Company Accounting Oversight Board (PCAOB), which audits ...
Citing "a number of significant investor protection issues that need to be examined before sponsors begin offering these funds to retail investors," Dalia Blass, director of the SEC's division of investment management, wrote that fund sponsors shouldn't seek to register crypto-related funds.
The Securities and Exchange Commission has barred former broker and registered investment adviser Frank Mazzola of Upper Saddle River, N.J., ... The SEC said that from 2009 to 2014, Mr. Mazzola was a registered representative of Felix Investments, which was expelled by the Financial Industry ...
If the court should find in favor of Raymond Lucia, who is appealing a decision by an SEC judge who fined him $300,000 and barred him from working as an investment adviser, the decision could affect more than 100 pending cases to appear before administrative law judges. It might even spark appeals of ...


 

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