Month: September 2015

The SEC and the U.S. Attorney’s Office for the District of Connecticut charged three senior traders with fraud by misrepresenting pricing information to clients regarding securities traded in opaque markets. In those markets clients often rely on the trader for …

SEC Charges Three RMBS Traders With Lying To Clients Read More »

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The Dodd-Frank Wall Street Reform Act imposed a requirement on the SEC in Section 1504 to promulgate a disclosure rule regarding certain extraction payments involving resource issuers within 270 days of passage or by April 17, 2011. The history of …

SEC Enjoined For Failing To Timely Issue Mineral Disclosure Rule Read More »

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