Search for: "International Securities Exchange"
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3 Nov 2010, 1:25 pm
The Securities and Exchange Commission today moved to implement a new whistleblower program, one that includes lavish new rewards and expanded protection, but that has also triggered concerns that it will decimate internal compliance programs. [read post]
29 Sep 2023, 8:32 am
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence rules and for aiding…Read the Full Press Release Have a securities law question? [read post]
11 Jul 2011, 6:12 pm
According to ex- SEC's Office of International Corporate Finance chief Sarah Hanks, there is the strong possibility that Congress or the Securities and Exchange Commission will modify the agency’s ban on the general solicitation for private securities offerings and the number of shareholders that trigger reporting requirements. [read post]
13 Oct 2022, 11:13 am
iShares International High Yield Bond ETF and other Junk Bond ETFs take a hit as Interest Rates Rise According to Morningstar, just one high-yield bond exchange-traded fund (ETF) offered a positive return this year through the end of the third quarter. [read post]
29 Jun 2022, 1:31 pm
Securities and Exchange Commission (SEC) announced charges against Ernst & Young LLP (EY) for cheating by audit professionals on ethics exams and for withholding information from the SEC on the matter. [read post]
27 Oct 2011, 2:23 pm
Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant and undertake other remedial measures to improve its policies and procedures for producing documents during SEC inspections. [read post]
6 Jan 2023, 11:18 am
Securities and Exchange Committee to create strong laws that protect vulnerable informants. [read post]
17 Jan 2023, 3:56 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6851/securities-industry-commentator/ Calling All Unreasonable Wall Street Professionals (BrokeAndBroker.com Blog) DOJ RELEASES Founder and Majority Owner of Bitzlato, a Cryptocurrency Exchange, Charged with Unlicensed Money Transmitting / Bitzlato Ltd. [read post]
29 Dec 2007, 9:48 am
The SEC quickly issued a statement to make clear that common ownership of the markets would not trigger SEC registration or the application of the U.S. federal securities laws.Enforcement is a key focus of international securities regulatory cooperation, according to Cox, but regulators can also serve investors by reducing duplicative and overlapping regulation, as well as by sharing information to ensure the effective regulation of cross-border market operations. [read post]
16 Aug 2010, 3:45 am
United States and international financial markets are experiencing tumult not seen since the 1930s. [read post]
12 Apr 2024, 3:15 am
In that decision, the Court concluded that the plaintiff had adequately alleged that the company’s failure to appropriately track the amount of securities it had available under its shelf registration statement demonstrated that statements it made about its internal controls were misleading. [read post]
17 Oct 2013, 9:26 am
The Court rejected the company's argument that whistleblowers must contact the government (i.e. the Securities and Exchange Commission) in order to be protected. [read post]
28 Jan 2022, 8:30 am
The Securities and Exchange Commission today announced settled fraud charges without a penalty against HeadSpin, Inc., a private technology company that made significant remedial efforts in the wake of an internal investigation into misconduct by its now…Read the Full Press ReleaseHave a securities law question? [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
26 May 2023, 11:00 pm
If you’ve heard of the “1031-Exchange,” named after the corresponding Internal Revenue Code provision 1031, then you know it’s a vehicle for transferring the cash accumulated in one piece of real estate into another, and that it allows that owner to defer tax gains that would normally be due upon a sale, by rolling over all of the proceeds into a “like-kind” property.Now, while taxes may still technically be owed, the provision allows an owner to… [read post]
21 Feb 2012, 6:33 am
Securities & Exchange Commission (10-429, 2nd Circuit, February 14, 2012), Petitioner Scott Mathis sought the review of a Securities and Exchange Commission (? [read post]
12 Nov 2014, 11:38 pm
Saudi Arabia’s stock exchange, the Tadawul, is by far the largest securities exchange in the GCC by market capitalisation. [read post]
19 Sep 2011, 3:00 am
The only new argument here, which has been rejected by other District Courts, is that the securities at issue were also “cross-listed on the” New York Stock Exchange. [read post]
1 Dec 2011, 7:52 am
The guidance is intended to assist registrants in preparing disclosure under both the Securities Act of 1933 (the 1933 Act) and the Securities Exchange Act of 1934 (the 1934 Act). [read post]
8 Jul 2015, 11:13 am
The Securities and Exchange Commissions (SEC) released a press release on July 6, 2015 announcing charges brought against Luca International, a California based oil and gas company, and Bingqing Yang, the company’s CEO. [read post]
