Browse By Tags

In a microcap fraud-fighting initiative that the Securities and Exchange Commission refers to as Operation Shell-Expel , the SEC has suspended trading in 255 dormant shell companies that it said were “ripe for abuse in the over-the-counter market...

Millions of previously hidden U.S. stock trades will be revealed for the first time on Monday December 9. Previously, odd lots, which are trades of fewer than 100 shares, have not been revealed on the publicly available “consolidated tape,”...

The Securities and Exchange Commission has reached its first deferred prosecution agreement with an individual. According to the SEC’s DPA with Scott Herckis: Herckis served as administrator for Connecticut-based Heppelwhite Fund LP, which was...

The Securities and Exchange Commission has just announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges...

The Securities and Exchange Commission had a very good year targeting financial fraud. Those who commit fraud, not so much. In fiscal year 2013, the SEC’s enforcement actions resulted in a record $3.4 billion in monetary sanctions ordered against...

Government Shutdown: Impact on I-129 H Visa Extensions and AOS | Via e-Mail on October 18, 2013, USCIS alerted stakeholders that if an H-1B, H-2A, or H-2B petitioner submits evidence establishing that the primary reason for failing to timely file an...

USCIS Ombudsman Recommends Improvements to SIJ Adjudication Process| On December 11, 2015, the Ombudsman for U.S. Citizenship and Immigration Services issued a 12-page report containing recommendations for improving the process for adjudicating applications...

USCIS Proposes Expansion of Provisional Waiver Program | On July 22, 2015, U.S. Citizenship and Immigration Services published a proposed rule that would expand eligibility for provisional unlawful presence waivers. Under the proposed rule, provisional...

Colorado Repeals Employment Verification Requirement | On June 8, 2016, Colorado Gov. John Hickenlooper signed a bill (House Bill 16-1114) repealing a state requirement that employers maintain a separate affirmation form and retain copies of documents...

By Gordon H. Copland, Russell D. Jessee and Nathaniel I. Holland Last year, the U.S. Department of Justice (DOJ) Antitrust Division reached an agreement with two natural gas producers who each paid fines of over one-half million dollars to settle claims...

On July 12, 2013 Bernard P. Wolfsdorf and Adam Francoeur wrote : " Following the April passage of the Jumpstart Our Business Startups Act (“JOBS Act”), the Securities and Exchange Commission (SEC) announced the elimination of the ban...

"On April 3, 2013, U.S. Citizenship and Immigration Services (USCIS) hosted a stakeholder teleconference featuring staff from the Securities and Exchange Commission (SEC) to discuss the EB-5 Immigrant Investor program. During the engagement, subject...

"U.S. Citizenship and Immigration Services (USCIS) and the Securities and Exchange Commission (SEC) invite interested individuals to participate in a stakeholder teleconference to discuss the EB-5 Immigrant Investor program. During the engagement...

By Robb Chase and Amanda Pugh On February 14, 2012, the Department of Treasury's Financial Crimes Enforcement Network (FinCEN) issued Notice 2012-1, which extended the filing deadline for both the 2010 and 2011 Report of Foreign Bank and Financial...

By James O. Green, P. Gregory Hidalgo and Lynwood E. Reinhardt Excerpt: On August 22, 2012, the U.S. Securities and Exchange Commission (the "SEC") adopted new rules relating to disclosure of payments by so-called "resource extraction...