Search for: "International Securities Exchange"
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31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
27 Mar 2013, 6:32 am
The NASDAQ Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) a proposed rule [1] requiring listed companies to establish and maintain an internal audit function. [2] The SEC is soliciting comments on the proposed rule through March 29, 2013. [3] Under the proposed rule, the internal audit function would be required to provide management and the audit committee with ongoing assessments of the company's risk management… [read post]
12 Apr 2012, 1:08 am
On April 11, 2012, as required by the Dodd-Frank Act, the SEC released its study of cross-border private securities litigation, entitled “Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934” (here). [read post]
22 Feb 2022, 1:35 pm
The Securities and Exchange Commission today announced settled charges and an $18 million penalty against Baxter International Inc. for engaging in improper intra-company foreign exchange transactions that resulted in the misstatement of the company’s…Read the Full Press ReleaseHave a securities law question? [read post]
5 Jan 2023, 6:17 pm
The Exchange Act voids “[a]ny condition, stipulation, or provision binding any person acquiring any security to waive compliance with any provision of this title. [read post]
9 Dec 2009, 11:45 am
The Securities and Exchange Commission has charged Brookstreet Securities, its President and CEO Stanley Brooks with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals. [read post]
28 Jun 2022, 7:18 am
HE CAN BE REACHED AT 617-823-3217 OR AT JNEWMAN@NEWMNSHAPIRO.COM The post Securities and Exchange Commission charges Ernst and Young for cheating by its audit professionals on CPA exams and withholding information from SEC’s Enforcement Division during the investigation. [read post]
15 Sep 2015, 6:07 am
On September 8, 2015, the Securities and Exchange Commission (“SEC”) charged Ross Shapiro, Michael Gramins, and Tyler Peters with violating Section 10(b) of the Securities and Exchange Act of 1934, and Rule 10b-5 and Sections 17(a) of the Securities Act of 1933. [read post]
25 Apr 2014, 6:40 am
Werfel, Exchange Rates and Industry Demands for Trade Protection Hun Joon Kim & J.C. [read post]
23 May 2011, 9:47 am
The Justice Department and Securities and Exchange Commission continue to rely heavily on companies to shine a spotlight on themselves and to root out potential fraud within their own walls. [read post]
29 Sep 2022, 1:10 pm
The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…Read the Full Press ReleaseHave a securities law question? [read post]
4 Dec 2010, 5:00 am
Accordingly, the court dismissed the claims of Plaintiffs who purchased securities on foreign exchanges. [read post]
25 Jun 2010, 8:01 am
The federal securities laws in general, and the Securities Exchange Act in particular, say nothing about the international reach of the fraud provisions. [read post]
19 Feb 2010, 12:28 pm
Any financial professional who fails to facilitate a 1035 exchange of a customer's variable annuity opens themselves up to a securities arbitration claim seeking damages for the customer's fees, costs and taxes incurred as a result. [read post]
27 Aug 2009, 1:06 pm
Marshall, the former Vice Chairman of International Securities Exchange Holdings, Inc. [read post]
5 Mar 2021, 9:05 am
On February 16, the Securities and Exchange Commission (SEC) filed a civil action in federal district court in the Southern District of New York against the former credit ratings agency, Morningstar Credit Ratings LLC, regarding alleged failure to disclose and maintaining internal control provisions in violation of federal securities law in its CMBS ratings practice. [read post]
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
22 Feb 2012, 3:06 am
Tags: Adjudication, International Practice, Subject-Matter Jurisdiction Related posts The Principal-Agency Conundrum For Securing U.S. [read post]
2 May 2008, 10:50 pm
News release: "The Securities and Exchange Commission today announced that investors awaiting their refund checks from the Internal Revenue Service... [read post]
3 Nov 2022, 11:41 am
To learn more about Western International Securities please see: Western International Securities Customer Complaints & Regulatory Actions The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
