Search for: "US Securities and Exchange Commission"
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1 Feb 2019, 4:00 am
Securities Fraud Charges for Ukrainian MenFederal authorities have charged two Ukrainian men with securities fraud for hacking the Securities and Exchange Commission computer network. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
4 Aug 2017, 5:55 am
As a recent press release issued by the Securities and Exchange Commission indicates, on July 31, 2017 the Securities and Exchange Commission (SEC) filed a civil complaint charging four former Atlanta-area brokers — Christopher S. [read post]
21 Jan 2010, 8:12 pm
Here is the abstract: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to climate change-related risks. [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
12 Feb 2019, 12:00 am
Securities and Exchange Commission implied that those engaged in writing and publishing code might need to worry about running afoul of securities laws. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
27 Aug 2019, 9:02 am
The Securities and Exchange Commission today charged public accounting firm RSM US LLP with violations of the agency’s auditor independence rules in connection with more than 100 audit reports involving at least 15 audit clients. [read post]
16 Dec 2015, 6:02 am
Securities and Exchange Commission. [read post]
30 Apr 2015, 12:54 pm
On April 29, the Securities and Exchange Commission published proposed rules that would require non-United States persons that use United States personnel to arrange, negotiate or execute a security-based swap transaction in connection with its dealing activity to include such transaction for purposes of the de minimis exception set forth in Exchange Act Section 3(a)(71)(D). [read post]
1 Aug 2017, 5:53 pm
On July 25, 2017, the US Securities and Exchange Commission (“SEC”) issued an investigative report stating that US securities laws apply to sales of securities in the United States purchased with virtual currencies or distributed with blockchain technology. [read post]
26 May 2022, 9:08 am
The US Securities and Exchange Commission (SEC) has been increasingly vocal about its view that environmental, social and governance (ESG) disclosures can be material to investors. [read post]
23 Oct 2020, 8:11 am
The Securities and Exchange Commission looked at the fact that the US equity market capitalization has grown from $1 trillion to an $35 trillion and decided that it was time to raise the disclosure limit. [read post]
6 Mar 2015, 6:04 am
Securities and Exchange Commission. [read post]
9 May 2011, 10:00 am
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
