SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts – SECLaw.com


SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts

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The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a…
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* This article was originally published here
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SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts

SEC Charges 10 Microcap Companies with Securities Offering Registration Violations – SECLaw.com


SEC Charges 10 Microcap Companies with Securities Offering Registration Violations

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The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
* This article was originally published here
SECLaw.com is the online source of securities law new, tips and commentary. Online since 1995 it is the recognized leader in the area, so much so that other attorneys have been reduced to using “seclaw” in their website names in an effort to gain from the site’s popularity.
#securitiesattorney #securitieslawyer #seclawcom

SEC Charges 10 Microcap Companies with Securities Offering Registration Violations


Elon Musk must still have his tweets approved by Tesla lawyer, federal appeals court rules

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A federal appeals court says Elon Musk cannot back out of a settlement with securities regulators over 2018 tweets claiming he had the funding to take Tesla private. The 2nd U.S. Circuit Court of Appeals in Manhattan ruled Monday, just days after hearing arguments from lawyers in the case. Musk had challenged a lower court judge’s ruling last year requiring him to abide by the deal. The settlement with the Securities and Exchange Commission required that his tweets be first approved by a Tesla attorney. It also called for Musk and Tesla to pay civil fines over the tweets.
Source: Elon Musk must still have his tweets approved by Tesla lawyer, federal appeals court rules
SECLaw.com is the online source of securities law new, tips and commentary. Online since 1995 it is the recognized leader in the area, so much so that other attorneys have been reduced to using “seclaw” in their website names in an effort to gain from the site’s popularity.
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Elon Musk must still have his tweets approved by Tesla lawyer, federal appeals court rules

SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies – SECLaw.com


SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies

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The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. The proposal would amend the existing rules regarding intraday margin and the use of…
Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
* This article was originally published here
SECLaw.com is the online source of securities law new, tips and commentary. Online since 1995 it is the recognized leader in the area, so much so that other attorneys have been reduced to using “seclaw” in their website names in an effort to gain from the site’s popularity.
#securitieslawyer #seclawcom #securitiesattorney

SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies

SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies


SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies
The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. The proposal would amend the existing rules regarding intraday margin and the use of…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney