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Timestamp: 2019-09-20 16:45:54
Document Index: 626669392

Matched Legal Cases: ['art 229', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239']

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FINRA Enforcement Release - 2013035130101 - Cantone Research, Inc., Christine Cantone and Anthony Cantone - 01/16/2019
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Cantone Research, Inc., Anthony Cantone, and Christine Cantone Tinton Falls, NJ, Respondents. DECISION Complaint No. 2013035130101 Dated: January 16, 2019 ...
Disclosures, Disclosures - Prospectus issues, Supervision / Compliance
FINRA Enforcement Release - 2016048393501 - Shopoff Securities, Inc., William A. Shopoff and Stephen R. Shopoff - 01/10/2019
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shopoff Securities, Inc. (CRD No. 142866), William A. Shopoff (CRD No. 1273471), and Stephen R. Shopoff (CRD No. 5276325), Respondents. DISCIPLINARY PROCEEDING NO. 2016048393501 COMPLAINT ...
Disclosures, Disclosures - Prospectus issues, Private Placements (Reg D)
FINRA Enforcement Release 2013035130101 - Cantone Research Inc., Anthony J. Cantone, and Christine L. Cantone - 05/12/2017
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANTONE RESEARCH INC. (BD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and CHRISTINE L. CANTONE (CRD No. 2687618), Respondents. Disciplinary Proceeding No. 2013035130101 Hearing ...
Disclosures - Prospectus issues, Private Placements (Reg D), Suitability and Consumer Protection, Supervision / Compliance, Account Handling
Material Misstatements / Omissions, Discretionary Accounts and Unauthorized Trading
SEC Admin Proceeding 33-10337 - Galena Biopharma Inc. and Mark J. Ahn (Apr. 10, 2017)
On the basis of this Order and Respondents’ Offers, the Commission finds1: III. SUMMARY From January 2012 to February 2014, Galena and its then-CEO Mark Ahn engaged in a scheme to mislead investors by commissioning over 100 internet publications promoting Galena that purported to be independent and ...
Disclosures - Prospectus issues, Recordkeeping, Reg. Reporting, Registration Requirement
Fraud, Wire Fraud
SEC Litigation Release LR-22533 - J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I (Nov. 16, 2012)
U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22533 / November 16, 2012 Securities and Exchange Commission v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan ...
Offering Documents, Disclosures, Disclosures - Prospectus issues
$84,350,000
$177,700,000
SEC Admin Proceeding 33-9368 - Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (Nov....
Summary This matter involves two separate practices in which Credit Suisse Securities (USA) LLC, and affiliated entities (collectively, “Credit Suisse”) engaged with respect to residential mortgage- backed securities (“RMBS”) it sponsored and/or underwrote. First, from approximately 2005 to 2010, ...
Conflicts of Interest, Disclosures - Prospectus issues, Disclosures, Employees
$65,804,330
Frontrunning, Fraud, Personal Account Trading
SEC Admin Proceeding IC-30264 - Massachusetts Mutual Life Insurance Company (Nov. 15, 2012)
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. 30264 / November 15, 2012 ADMINISTRATIVE PROCEEDING File No. 3-15095 In the Matter of MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY, Respondent. ORDER INSTITUTING ADMINISTRATIVE AND CEASE ...
Marketing Materials, Disclosures - Prospectus issues
SEC Admin Proceeding 33-9329 - OppenheimerFunds Inc. and OppenheimerFunds Distributor Inc. (June 6, 2012)
Summary 1. These proceedings arise out of the offer and sale of shares of Oppenheimer Champion Income Fund and Oppenheimer Core Bond Fund (the “Funds”), two fixed income retail mutual funds managed by OppenheimerFunds, Inc. (“OFI”). In 2008, both Funds experienced losses far greater than those ...
Disclosures - Prospectus issues, Fees to Customers, Disclosures
$9,879,706
SEC Division of Corporation Finance: Sample Letter Sent to Financial Institutions Regarding Their Structured Note Offerings Disclosure in Their Prospectus Supplements and Exchange Act Reports
In April 2012, the Division of Corporation Finance's Office of Capital Markets Trends sent the following illustrative letter to certain financial institutions in connection with their structured note offerings. April 2012 XYZ Corporation Address Dear XYZ Corporation: We are writing this letter ...
Disclosures - Prospectus issues
CF Disclosure Guidance, SEC Division: Corp. Fin.
SEC Admin Proceeding 33-9182 - Alpine Woods Capital Investors LLC and Samuel A. Lieber (Feb. 7, 2011)
SUMMARY Between 2003 and 2007, Alpine launched a number of new funds and experienced significant growth in assets under management. As a result of the growth in Alpine’s commission-generating business, Alpine had greater opportunity to obtain shares in initial public offerings ("IPOs"). ...
Advice and Fiduciary, Disclosures, Disclosures - Prospectus issues, Recordkeeping, Supervision / Compliance, Trade Allocations
74 FR 68545 - Revisions To Rule 163
We are proposing amendments to Rule 163(c) under the Securities Act of 1933 that would allow a well-known seasoned issuer to authorize an underwriter or dealer to act as its agent or representative in communicating about offerings of the issuer's securities prior to the filing of a ...
SEC Litigation Release LR-20501 - W.P. Carey & Co. LLC et al. (Mar. 18, 2008)
U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 20501 / March 18, 2008 SEC v. W.P. Carey & Co. LLC et al., 08 Civ. 2846 (JSR) (S.D.N.Y.) SEC Charges W.P. Carey and Two Senior Executives in Fraudulent Payment Scheme The Securities and Exchange Commission today filed settled ...
Accounting and Audit, Disclosures, Disclosures - Prospectus issues, Operations, Payments, Reg. Reporting, Registration Requirement
Reg S-K Subpart 229.500: Registration Statement and Prospectus Provisions
SA Rule 481: Information required in prospectuses.
Disclose the following in registration statements prepared on a form available solely to investment companies registered under the Investment Company Act of 1940 or in registration statements filed under the Act for a company that has elected to be regulated as a business development company under ...
Offering Documents, Disclosures - Prospectus issues, Registration Process, Disclosures
SA Rule 492: Omissions from prospectuses.
In the case of a security for which a registration statement conforming to Schedule B is in effect, the following information, contained in the registration statement, may be omitted from any prospectus: Information in answer to paragraph (3) of the Schedule with respect to the amortization and ...
Disclosures - Prospectus issues, Registration Process
Foreign Governments, SEC-Registered Issuers
SA Rule 494: Newspaper prospectuses.
(a) This section shall apply only to newspaper prospectuses relating to securities, as to which a registration statement has become effective, issued by a foreign national government with which the United States maintains diplomatic relations. The term newspaper prospectus means an advertisement of ...
SA Rule 496: Contents of prospectus and statement of additional information used after nine months.
In the case of a registration statement filed on Form N-1A (§§ 239.15A and 274.11A of this chapter), Form N-2 (§§ 239.14 and 274.11a-1 of this chapter), Form N-3 (§§ 239.17a and 274.11b of this chapter), Form N-4 (§§ 239.17b and 274.11c of this chapter), or Form N-6 (§§ 239.17c and 274.11d of this ...
SA Rule 421: Presentation of information in prospectuses.
(a) The information required in a prospectus need not follow the order of the items or other requirements in the form. Such information shall not, however, be set forth in such fashion as to obscure any of the required information or any information necessary to keep the required information from ...
SA Rule 427: Contents of prospectus used after nine months.
There may be omitted from any prospectus used more than 9 months after the effective date of the registration statement any information previously required to be contained in the prospectus insofar as later information covering the same subjects, including the latest available certified financial ...