Search for: "International Securities Exchange"
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13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 Sep 2023, 2:06 pm
We also represent international investors who live abroad but have California brokerage accounts. [read post]
15 Jan 2008, 2:55 am
Designed to perform fast and easy e-mail search and Exchange server recovery directly from Microsoft(R) Exchange Server backups, Ontrack PowerControls 5.0 further simplifies the restoration process while maintaining internal security policies. [read post]
5 Jun 2019, 5:00 am
Securities fraud suspected arrested at Los Angeles airportAuthorities arrested a man suspected of securities fraud at the Los Angeles International Airport. [read post]
18 Feb 2020, 1:58 pm
While the firm is still operational, and while this case was waiting for the appeal to be decided, the owner of Lek Securities, Samuel Lek, who is also named in the instant lawsuit, was barred from the securities industry by FINRA and the Securities and Exchange Commission (SEC) in December of 2019. [read post]
31 Aug 2004, 11:19 am
The Securities and Exchange Commission plans to recommend civil charges against Hollinger Inc., according to a company disclosure that did not name the alleged violations. [read post]
10 Aug 2006, 2:09 am
[JURIST] The US Securities and Exchange Commission [official website] on Wednesday introduced plans to give small public US companies and some foreign companies [SEC releases, PDF] additional time to comply [press release] with restrictive internal control requirements relating to financial reporting. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
27 Jun 2011, 3:00 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010, established a whistleblower incentive program requiring the Securities and Exchange commission to provide monetary awards to whistleblowers who come forward with information about the violation of federal securities laws, including violations of the Foreign Corrupt Practices Act (FCPA). [read post]
20 Nov 2014, 9:09 pm
Christoph Mikulaschek (Princeton Univ.) has posted Minor powers’ influence in international organizations: Empirical evidence exploiting the natural experiment of African representation on the UN Security Council. [read post]
24 Apr 2010, 9:37 am
At an investment adviser compliance seminar last month, Securities and Exchange Commissioner Luis Aguilar called on Congress to impose the same standard of care that applies to investment advisers to all financial intermediaries. [read post]
20 Jan 2010, 11:43 am
The event is sponsored this year by the Strauss Center for International Security and Law and the ICRC. [read post]
23 Mar 2010, 12:32 am
(The following post comes to us from Sumit Agrawal, who is an alumnus of the National Law University, Jodhpur and associated with the Securities and Exchange Board of India (SEBI) as Legal Officer in its Integrated Surveillance Department. [read post]
16 Nov 2018, 4:30 am
On November 21, 2018, the International Institute of Social Studies and the Platform for Humanitarian Knowledge Exchange in the Netherlands will hold a symposium to present their report on the need for an International Ombuds. [read post]
5 Apr 2007, 4:48 am
The Securities and Exchange Commission is sending its accounting staff to work with the Public Company Accounting Oversight Board on additional revisions to the auditing standard that has been criticized by public companies and legislators for creating costly audits of internal controls. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset… [read post]
8 Dec 2015, 10:30 am
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
6 Dec 2006, 6:34 pm
The International Securities Exchange [ISE] said on Dec. 6, 2006 that it filed a patent infringement lawsuit in SD NY against the Chicago Board Options Exchange [CBOE] concerning claims of its patent entitled "Automated Exchange for Trading Derivative Securities," issued on Sept. 9, 2003.A CBOE memo stated ISE's latest legal action appears to be related to a suit in which the CBOE, McGraw-Hill Cos. and Dow Jones & Co.… [read post]
20 Jul 2011, 9:38 am
Gerlak, Jonathan Lautze & Mark Giordano, Water resources data and information exchange in transboundary water treaties [read post]
