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The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February ...
They agreed to pay $500,000 and $1.5 million in fines, respectively, the SEC said in a press release Monday. ... highlighted in a May 2023 report issued by short-seller Hindenburg Research, which ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
2019: The SEC first contacts the LDS Church over its reporting structure. [9] 2020: EP files a consolidated disclosure for the first time. [11] 2023: On February 21, the SEC announces publicly the charges against the LDS Church and EP, along with the settlement. The church agrees to pay $1 million and EP agrees to a $4 million penalty. [9]
The US Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their “significant failures” to keep electronic communications.
Mississippi has been fined $75,000 after the game with LSU was interrupted by fans throwing debris on the field. The SEC announced the fine Thursday, adding to the $100,000 penalty that had ...
The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings.
The SEC sent him a letter wanting to know why he had not disclosed those purchases within 10 days of crossing the 5% threshold of shares owned, as required by securities law.