Regulatory & Compliance
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Technology
SEC Charges Investment Adviser In Social Media Scam, Issues Two Alerts
The SEC charged an Illinois-based investment adviser on January 4, 2012 with trying to sell fictitious securities, allegedly offering more than $500 billion of the bogus investments on various social media web sites such as LinkedIn. In the SEC’s order instituting administrative proceedings...
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New York State Labor Law Now Requires Annual Notice And Acknowledgement Of Employee Wage Rate
In the Autumn 2009 Employment Law Insider Alert we informed employers about amendments to the New York State Labor Law that required employers to provide written notice to all newly hired employees of rate of pay, regular paydays and the overtime rate of pay, if applicable. Newly...
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The SEC Wants To Be Your Valentine
On February 14, 2012, Valentine’s Day, certain public and private companies will be required to file newly created Form ABS-15G with the Securities and Exchange Commission (the “SEC”). This new SEC filing requirement is mandated by Rule 15Ga-1 to the Securities Exchange Act of...
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