Search for: "Securities And Exchange Commission"
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1 May 2024, 10:16 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
1 May 2024, 9:05 pm
In the meantime, we must hope for the European Securities and Markets Authority (ESMA) to give further guidance. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
30 Apr 2024, 12:31 pm
Securities and Exchange Commission. [read post]
30 Apr 2024, 8:53 am
In the first few months of 2024, the Securities and Exchange Commission (“SEC”) launched multiple major offensives against a broad array of cryptocurrency companies. [read post]
30 Apr 2024, 6:08 am
Once the Federal Elections Commission sent him a letter, Pecker recalled telling Cohen that he was “very worried. [read post]
30 Apr 2024, 5:41 am
The Securities and Exchange Commission also published an investor alert bulletin on structured notes in 2015 warning investors of the risks of investing in these complex products. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 9:05 pm
The former head of the Securities Commission (CVM) referred to testimony that asserted JBS had bribed 1,829 politicians. [read post]
29 Apr 2024, 8:27 am
(credit: Getty Images | Win McNamee ) The US Supreme Court today rejected Elon Musk's attempt to terminate his settlement with the Securities and Exchange Commission. [read post]
29 Apr 2024, 6:31 am
Panuwat, the Securities and Exchange Commission (SEC) successfully pioneered a legal theory referred to as “shadow” insider trading. [read post]
29 Apr 2024, 6:31 am
Panuwat, the Securities and Exchange Commission (SEC) successfully pioneered a legal theory referred to as “shadow” insider trading. [read post]
29 Apr 2024, 5:52 am
Blockchain Association’s members are software developers, infrastructure providers, exchanges, custodians, investors, and others supportive of the blockchain ecosystem. [read post]
