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The U.S. Securities and Exchange Commission (SEC) has its own methods of tracking the illegal practice of insider trading. The purpose is to ensure that no one has an unfair upper hand in trading on the stock exchange. The SEC has a responsibility to protect the...
In 2021, the U.S. Court of Appeals for the Second Circuit reinforced the rule that federal laws do not apply to predominantly foreign transactions, even those that occur in the U.S. Previously used securities tests and laws are no longer relevant to extraterritorial...
The U.S. Securities and Exchange Commission might not come to mind first when people discuss law and regulatory enforcement. However, the SEC works hard to protect people from predatory and illegal tactics that less-than-honest financial professionals may perform. The...
Many companies throughout Pennsylvania do their parts to have a diverse workforce. Unfortunately, not every business is experiencing the benefits of having a diverse team of employees. With that in mind, the SEC recently approved new Nasdaq rules that could put an end...
The Securities and Exchange Commission (SEC) establishes regulations for buying and selling securities, which include stocks and bonds, to prevent investment fraud. Securities fraud is classified as a white-collar crime, or a nonviolent financial scheme. Two common...
The Securities and Exchange Commission regulates tradable financial tools, or securities, such as stocks and bonds. Insider trading is a familiar term to many stock traders in Pennsylvania. Many people still associate insider trading with fraud, but not all of it is...
Securities law in Altoona, Pennsylvania, helps regulate the buying and selling of stocks, shares, bonds, and other investments to prevent fraud. Congress enacted these laws in 1933 after the stock market crash of 1929. A common breach of securities law includes...
Securities fraud is a type of white-collar crime in Pennsylvania that entices investors to make a financial decision based on deceptive tactics. This deception often causes investors to lose large amounts of money, breaking securities law. There are several types of...
Across Pennsylvania and the other states, more than 5 million citizens have a legal responsibility to manage other people's money. This is referred to as a fiduciary responsibility. The Center for Fiduciary Studies is paving the way in setting an industry standard for...
The SEC faces an uphill battle when it comes to fighting online commentary that hypes stocks. Officials must prove that the information posted online was an organized attempt to change stock prices. It is not against the law to discuss stock hunches online, but...
