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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 11-17 out of 17 results for "JOBS Act".

SEC Press Release: Microcap Stock Fraud

(Jun 2011)

SEC Suspends Trading in 17 Companies in Proactive Effort to Combat Microcap Stock Fraud

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"suspended trading in 17 microcap stocks because of questions about the adequacy and accuracy of publicly available information about the companies, which trade in the over-the-counter (OTC) market."

The Order of Suspension of trading can be found on the SEC's website.

SEC's regional offices,...

In the News: Auction Rate Securities Purchased by US Airways

(Jun 2011)

Forbes' blogger Bill Singer narrates the story of US Airways. Registered with Lehman Brothers at the time, three individuals were ordered to pay US Airways $15 million in damages for making unsuitable recommendations and unauthorized purchases of auction rate securities (ARS) and for the failure to provide proper supervision over the transactions of ARS made on behalf of US Airways.

ARS are long-term floating rate securities whose coupon payments are determined at auctions that are...

Joint SEC and FINRA Press Release: Structured Products

(Jun 2011)

The SEC and FINRA Issue Joint Press Release on Structured Products

The Security and Exchange Commission (SEC) issued a press release today jointly with the Financial Industry Regulatory Authority (FINRA) dealing with structured products with "principal protection" - so called "principal protected notes." This press release announced that an investor alert had been issued to educate and warn investors about the substantial risks associated with investing in structured products.

FINRA's...

SEC Press Release: Assigned Credit Ratings

(May 2011)

SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had requested

for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products.

The SEC's effort is mandated by the Dodd-Frank...

SEC Press Release: Fraudulent Bidding Practices

(May 2011)

SEC Charges UBS with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains. To settle the SEC's charges, UBS has agreed to pay $47.2 million that will be returned to the...

FINRA Press Release: Principal Protected Notes

(Apr 2011)

FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors...

SLCG Research: Futures-Based Commodity ETFs

(Jan 2011)

SLCG released today a new study about Futures-Based Commodity ETFs. In the past decade the price of commodities has increased substantially and many investors have wanted to diversify their portfolios by including commodities. The most common way to invest in commodities is by buying futures contracts, which requires a good understanding of the pricing of futures contract and specific features of the futures market.

In the past few years we have seen many firms offer Commodity Exchange...

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