Search for: "International Securities Exchange"
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30 Jun 2005, 3:42 am
Professor Garrett has also worked for the Securities and Exchange Commission in Washington, D.C. and she was in private practice in Tulsa, Oklahoma. [read post]
27 Feb 2017, 1:59 pm
The International Organization of Securities and Commissions (“IOSCO“) has also published a related statement. [read post]
27 Oct 2010, 10:23 am
And, more broadly, the SEC will analyze the implications on international comity and international relations of allowing private investors to pursue Rule 10b-5 securities fraud claims in cases of transnational securities fraud. [read post]
12 Feb 2012, 1:01 pm
The former Chair of the Securities and Exchange Board of India, C. [read post]
23 Sep 2016, 6:07 am
Securities and Exchange Commission. [read post]
21 Feb 2007, 12:25 pm
Source: International Herald Tribune [read post]
6 Dec 2010, 3:00 pm
The International Ombudsman Association has submitted a statement to the Securities and Exchange Commission regarding the new Ombudsman for the Office of the Investor Advocate that will be implemented pursuant to the Dodd-Frank Act. [read post]
15 Sep 2013, 9:11 pm
Stone, Risky Signals: The Political Costs of Exchange Rate Policy in Post-Communist Countries Colin M. [read post]
24 Jun 2011, 11:39 am
Impact On International Securities Class Actions Another interesting trend worthy of note is that non-U.S. securities class action filings have not seen much of a jump in the post-Morrison era. [read post]
3 Nov 2010, 10:14 am
• The security was sold or bought on a foreign stock exchange or a non-exchange trading platform or another alternating trading system based abroad. [read post]
17 Apr 2014, 6:13 pm
Publicly Released: Apr 17, 2014: “Although the Securities and Exchange Commission (SEC) had implemented and made progress in strengthening information security controls, weaknesses limited their effectiveness in protecting the confidentiality, integrity, and availability of a key financial system. [read post]
28 Jun 2022, 6:07 am
Most tragically, in 2017, two experts appointed by the Security Council were abducted and killed while on mission in the Democratic Republic of the Congo. [read post]
11 Dec 2008, 1:51 pm
Fleckner on international aspects of United States securities regulation. [read post]
3 Apr 2015, 6:24 am
Securities and Exchange Commission’s findings, Polycom Inc. settled with the agency on Tuesday, March 31, 2015, over alleged insufficient internal controls and disclosure violations for personal perk expenses. [read post]
20 Nov 2014, 1:06 pm
Some “private exchanges” are little more than high-tech online cafeteria enrollment arrangements. [read post]
16 Jun 2022, 7:05 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –…Read the Full Press ReleaseHave a securities law question? [read post]
24 Sep 2021, 6:00 am
The Securities and Exchange Commission today announced that London-based WPP plc, the world's largest advertising group, has agreed to pay more than $19 million to resolve charges that it violated the anti-bribery, books and records, and internal…Read the Full Press ReleaseHave a securities law question? [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
