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29 Sep 2022, 2:03 pm by jeffreynewmanadmin
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
14 Oct 2011, 4:52 am by Securites Lawprof
The SEC sanctioned two electronic stock exchanges and a broker-dealer owned by Direct Edge Holdings LLC for violations of U.S. securities laws arising out of weak internal controls that resulted in millions of dollars in trading losses and a systems... [read post]
3 Dec 2021, 12:37 pm by Silver Law Group
The post Securities And Exchange Commission Investigating GWG L Bonds appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Oct 2018, 12:16 pm by Mayme Beth Donohue
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
9 Aug 2021, 12:27 pm by jeffreynewmanadmin
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that facilitated buying and selling of digital asset securities. [read post]
20 Dec 2011, 7:31 am by McNabb Associates, P.C.
The heads of the organizations became the first individuals to exchange messages via the secure link to mark its launch today, Tuesday. [read post]
31 Oct 2023, 11:41 am by jeffreynewmanadmin
” The SEC’s complaint, filed in the Southern District of New York, alleges that SolarWinds and Brown violated the antifraud provisions of the Securities Act of 1933 and of the Securities Exchange Act of 1934; SolarWinds violated reporting and internal controls provisions of the Exchange Act; and Brown aided and abetted the company’s violations. [read post]
15 Sep 2022, 6:30 am by Iorio Altamirano
On September 14, 2022, Western International Securities, Inc. filed its Answer to the Securities and Exchange Commission’s Complaint denying that the firm violated the standards under Regulation Best Interest (“Reg BI”) in approving, recommending, and supervising the sale of speculative, high-risk, and illiquid L Bonds issued by GWG Holdings, Inc. [read post]
Zipper) appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
13 Jul 2011, 10:42 am
The Securities and Exchange Commission (SEC) has adopted final rules establishing a whistleblower program to provide financial rewards to individuals who, alone or with others, provide information regarding possible violations of securities laws to the SEC. [read post]
25 Jun 2010, 2:50 pm by Harold O'Grady
Justice Scalia forcefully ruled that §10(b) of the Securities Exchange Act of 1934 (and associated Rule 10b-5) have no international reach and found a presumption against [read post]
14 Jul 2021, 11:43 am by Eric C. Chaffee
Brodsky, Securities Exchange Act Section 4E(a): Toothless "Internal-Timing Directive" or Statute of Limitation? [read post]
15 Nov 2007, 1:14 pm
Corporations outside the United States that use international accounting standards will no longer be required to adjust their financial statements to comply with American accounting rules, the Securities and Exchange Commission decided Thursday. [read post]
SEC Alleges Western International Securities and Its California Financial Advisors Committed Due Diligence Failures  The US Securities and Exchange Commission (SEC) has filed civil charges against Western International Securities and several of its registered representatives. [read post]
11 Aug 2011, 2:38 pm by Securites Lawprof
Securities and Exchange Commission (Aug. 11, 2011): Issue Number 1:The Whistleblower program will bolster, not hamper, the internal compliance systems at companies across the country.... [read post]
8 Jul 2022, 3:59 am by Iorio Altamirano
The Certified Financial Planner Board (“CFP Board”) temporarily suspended Western International Securities Broker Patrick Egan after both the broker and firm were sued by the United States Securities and Exchange Commission (“SEC”) for selling GWG L Bonds that were not in the best interests of their customers. [read post]