Search for: "United States Securities and Exchange Commission"
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20 Apr 2014, 6:00 am
Securities and Exchange Commission. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
16 Apr 2010, 10:25 am
Not news specific to Minnesota civil litigation but still of interest: The stock market is “roiling” today and the consensus appears to be that it is due to the SEC’s charges brought today against Goldman Sachs in United States District Court, Eastern District of New York. [read post]
20 Apr 2011, 9:00 am
Ratifications were exchanged at Washington on July 1, 1974. [read post]
20 Jun 2010, 8:28 am
Donohue, Director of the Division of Investment Management at the Securities and Exchange Commission, and is based on a recent keynote address by Mr. [read post]
22 Jun 2009, 2:50 pm
Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate, on June 22, 2009. [read post]
21 Dec 2016, 7:33 am
United States. [read post]
16 Feb 2010, 10:43 am
The United States Securities and Exchange Commission (“SEC” or the “Commission”) recently made changes that could affect the speed and efficiency with which investigations are handled and enforcement actions are brought. [read post]
10 Aug 2021, 8:45 pm
On 6 August 2021, the FCA published a Memorandum of Understanding between itself, the Bank of England and the United States Securities and Exchange Commission regarding consultation, cooperation and the exchange of information in the supervision and oversight of certain over-the-counter derivatives entities that operate on a cross-border basis in the United States and the United Kingdom. [read post]
17 Dec 2010, 5:53 am
Sawyers (andquot;Sawyersandquot;), former employees of Wachovia Securities, L.L.C., now known as Wells Fargo Advisors, were charged on December 15, 2010 by theandnbsp;United States Securities and Exchange Commission with securities fraud. [read post]
2 Nov 2011, 10:09 pm
Report of Investigation, United States Securities and Exchange Commission, Office of Inspector General. [read post]
14 Jul 2010, 8:14 am
The Securities and Exchange Commission plans to vote on Wednesday whether to seek public comment on the accuracy of proxy voting in the United States. [read post]
22 Jul 2007, 11:06 am
Foreign securities exchanges (a) It shall be unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of interstate commerce for the purpose of effecting on an exchange not within or subject to the jurisdiction of the United States, any transaction in any security the issuer of which is a resident of, or is organized under the laws of, or has its principal place of business in, a… [read post]
21 Feb 2019, 9:31 am
BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. [read post]
25 Feb 2021, 6:00 am
On February 9, 2021, the United States Securities and Exchange Commission refused to let a former investment adviser re-register, claiming that the barred adviser had not demonstrated “extraordinary circumstances” to merit re-entry . [read post]
16 Nov 2007, 7:29 am
In a very important vote, the Securities and Exchange Commission dropped a requirement that foreign companies with United States trading exchange listings that comply with rules set by the International Accounting Standards Board (ISAB) still must reconcile their accounting records... [read post]
8 Feb 2008, 5:51 am
Securities and Exchange Commission (the “SEC”) may bring a complaint against the company as part of an investigation into whether bids were rigged on investment contracts with local governments. [read post]
26 Aug 2008, 2:29 am
Securities and Exchange Commission (SEC), at a signing ceremony at the SEC's head office in Washington D.C. [read post]
9 Apr 2019, 8:17 am
Facts: This case (Securities and Exchange Commission v. [read post]
