Sentence examples for sec action from inspiring English sources

A court also will consider whether the SEC action creates a substantial regulatory change.

What would the effect of SEC action in this area be for state law?

In 2016, however, the median settlement for cases with an SEC action ($8.4 million) differed only slightly from the median settlement for cases without a corresponding SEC action ($8.6 million).

"This is an unacceptable outcome from the nation's primary enforcer of securities laws, and it is the latest example of an SEC action that fails to appropriately punish guilty parties, deter future wrongdoings and protect investors".

But unlike two class-action suits brought this week alleging that Musk's funding claims were misleading, a SEC action would not have to prove "scienter" – an intent to defraud or extreme recklessness – to prevail.

The SEC action is another nightmare for Tesla, which has endured months of production problems and an exodus of top executives as it faces down more than $10 billion in lingering debts.

A Florida federal judge approved an SEC-determined class action settlement for Ponzi scheme allegations.

Track the richest people in America and get e–mail alerts on news, SEC filings, corporate actions, compensation changes and more.

On December 13 , 2018 the U.S. Securities and Exchange Commission ("SEC") announced a settled enforcement action against private equity adviser Yucaipa Master Manager, LLC ("Yucaipa") for alleged negligent failure to disclose conflicts of interest and misallocation of fees and expenses to the funds it advised.

A top shutter speed of 1/8000 sec freezes even the fastest action in well lit settings.

The Securities and Exchange Commission ("SEC") also took several enforcement actions against broker/dealers that demonstrate its continued focus on AML enforcement.