Tag Archives: insider trading

SEC Fines Yahoo! Over Breach Omission

The Securities and Exchange Commission is serious about data breaches. Which is why it fined Altaba (formerly Yahoo!) $35 million for its failure to disclose the breach for 2 years. The SEC said that Yahoo executives knew within days that … Continue reading

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Mark Cuban’s Wish List For Reforming the SEC

If you recall, Mark Cuban beat an insider trading charge by the Securities and Exchange Commission last year. He’s still on the warpath against the agency. In a recent article, he set forth his wish list for SEC reforms: “When … Continue reading

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Listen to the Birdie

How can you make money in the stock market? Turn in a cheater. The SEC’s Office of the Whistleblower has received over 3,620 whistleblower tips, a more than 20% increase in the number of whistleblower tips in just two years. … Continue reading

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The Cop Is On the Beat

The SEC’s Enforcement Division released its stats for its 2014 fiscal year, noting its use of “data and analytical tools.” Highlighting their “successful” year, the Division “filed a record 755 enforcement actions covering a wide range of misconduct, and obtained … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Enforcement Activity High in 2013

Watch out, badboys, the SEC is on the beat. In its annual report, the SEC noted that it filed 686 enforcement actions in fiscal year ended September 30, 2013, grabbing $3.4 billion in disgorgement and penalties, a result that is … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment