updated Fri. April 27, 2018
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SECcountry.com
February 14, 2018
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 NFLÃÂ ...
NOLA.com
February 14, 2018
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 HouseÃÂ ...
Arkansas Razorbacks
February 14, 2018
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 runÃÂ ...
Miami Herald
February 14, 2018
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 toÃÂ ...
Jackson Clarion Ledger
February 14, 2018
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 ofÃÂ ...
InvestmentNews
February 13, 2018
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 withÃÂ ...
ThinkAdvisor
February 13, 2018
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 hasÃÂ ...
InvestmentNews
February 13, 2018
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 feesÃÂ ...
The National Law Review
February 13, 2018
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;ÃÂ ...
Barron's
February 13, 2018
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'sÃÂ ...
Coindesk
February 13, 2018
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 firmÃÂ ...
Planadviser.com
February 13, 2018
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,ÃÂ ...
ETF Trends
February 8, 2018
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 offeringsÃÂ ...
Bloomberg BNA
February 8, 2018
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.
The National Law Review
February 8, 2018
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 ofÃÂ ...
Cointelegraph (Bitcoin, Cryptocurrency and Blockchain News)
February 8, 2018
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.
Investopedia (blog)
February 8, 2018
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:ÃÂ ...
E-Commerce Times
February 7, 2018
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 MainÃÂ ...
Investopedia (blog)
February 7, 2018
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, SECÃÂ ...
Insurance Journal
February 7, 2018
Anchor of Gold (blog)
February 7, 2018
"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,ÃÂ ...
Cointelegraph (Bitcoin, Cryptocurrency and Blockchain News)
February 7, 2018
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 FuturesÃÂ ...
VVdailypress.com
February 7, 2018
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?
Above the Law
February 7, 2018
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"ÃÂ ...
Bitcoin Magazine
February 7, 2018
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 theÃÂ ...
Fortune
February 6, 2018
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 posedÃÂ ...
Washington Examiner
February 6, 2018
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.
Buffalo News
February 4, 2018
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 staffÃÂ ...
SECcountry.com
February 4, 2018
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 wereÃÂ ...
SECcountry.com
February 4, 2018
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 warrantÃÂ ...
Seattle Times
February 3, 2018
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 raisingÃÂ ...
SECcountry.com
February 3, 2018
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.
The Hill
February 3, 2018
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 electronicÃÂ ...
TechCrunch
February 2, 2018
... 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 theÃÂ ...
SECcountry.com
February 1, 2018
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 playÃÂ ...
CBS News
February 1, 2018
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.
InvestmentNews
February 1, 2018
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 raisingÃÂ ...
MarketWatch
February 1, 2018
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 willÃÂ ...
CoinDesk
February 1, 2018
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, withÃÂ ...
The Hill
January 31, 2018
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 centersÃÂ ...
The Intercept
January 31, 2018
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., onÃÂ ...
Coindesk
January 31, 2018
Arkansas Razorbacks
January 23, 2018
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, thisÃÂ ...
Fortune
January 23, 2018
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 gatheringÃÂ ...
The Hill
January 22, 2018
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 auditsÃÂ ...
Barron's
January 22, 2018
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.
InvestmentNews
January 20, 2018
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 IndustryÃÂ ...
InvestmentNews
January 20, 2018
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 ofÃÂ ...
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