Search for: "International Securities Exchange"
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5 Dec 2013, 5:00 am
Student and Exchange Visitor Information System (SEVIS) SEVIS is the Internet-based system that the United States Department of Homeland Security (DHS) uses to maintain information on SEVP-certified schools and the international students who come to the United States to study in F or M status to attend those schools. [read post]
13 Aug 2011, 1:57 pm
Papers are being accepted for the "Workshop on Human Trafficking, International Crime and National Security: A Human Rights Perspective" to be held February 3-4, 2012 in Goettingen, Germany. [read post]
16 Feb 2021, 1:51 pm
The Securities and Exchange Commission today filed a civil action alleging that former credit ratings agency Morningstar Credit Ratings LLC violated disclosure and internal controls provisions of the federal securities laws in rating commercial…Read the Full Press ReleaseHave a securities law question? [read post]
22 Feb 2023, 8:35 am
The Securities and Exchange Commission today announced settled charges against African Gold Acquisition Corp., a publicly traded special purpose acquisition company (SPAC), for internal controls, reporting, and recordkeeping violations. [read post]
5 Feb 2021, 6:46 am
The Securities and Exchange Commission today announced that Katherine K. [read post]
20 Jun 2013, 9:41 am
Preferential Trade Agreements and Exchange Rate Policy Choice Terrence L. [read post]
26 Sep 2022, 9:23 am
The Securities and Exchange Commission (SEC) Monday charged three men for their roles “in orchestrating fraudulent manipulative securities trading schemes” which resulted in a $100 million valuation for a New Jersey deli and a $120 million valuation for a separate shell company. [read post]
3 Nov 2014, 10:30 am
One of many changes wrought by passage of the Dodd-Frank Act is that employers cannot compel potential whistleblowers to report known or suspected unlawful activity to the company before reporting such information to the Securities Exchange Commission (SEC). [read post]
3 Nov 2014, 10:30 am
One of many changes wrought by passage of the Dodd-Frank Act is that employers cannot compel potential whistleblowers to report known or suspected unlawful activity to the company before reporting such information to the Securities Exchange Commission (SEC). [read post]
13 Apr 2015, 12:00 pm
Additionally, the SEC found that Polycom had violated Section 13 of the Exchange Act by failing to maintain adequate internal controls. [read post]
25 Mar 2016, 9:16 am
International Securities Exchange (Fed. [read post]
15 Apr 2014, 11:59 am
Under the Securities Exchange Act of 1934, issuers of securities are required to keep books, records, and accounts that are reasonably detailed and accurately reflect the respective transactions and dispositions of assets. [read post]
9 Oct 2018, 6:00 am
Indeed, a KPMG study determined that mining and oil & gas companies make up 70% of zombies listed on the Australian Securities Exchange. [read post]
23 Aug 2022, 6:19 am
According to news reports, including the Washington Post, Peiter Zatko, Twitter’s former head of security, has filed a whistleblower complaint with the Securities & Exchange Commission, which says the company has misled regulators about its security measures. [read post]
25 Jun 2008, 7:17 pm
The SEC is also accusing Citigroup of engaging in record-keeping, reporting, and internal accounting violations of the Securities and Exchange Act. [read post]
10 Sep 2013, 9:31 am
Ficeto, 677 F.3d 60, 69 (2d Cir. 2012)) (internal quotation marks omitted). [read post]
25 Jun 2017, 9:00 am
But it’s not yet certain whether a whistleblower who blew the whistle internally, but not to the Securities & Exchange Commission, can bring a Dodd-Frank claim. [read post]
27 May 2011, 4:05 am
The regulator, the Securities and Exchange Commission, has finally adopted implementing regulations. [read post]
27 May 2011, 3:05 am
The regulator, the Securities and Exchange Commission, has finally adopted implementing regulations. [read post]
30 Nov 2017, 9:00 am
But courts have struggled with whether Dodd-Frank provides that same protection, or if Dodd-Frank protects only individuals who report misconduct to the Securities and Exchange Commission (SEC) directly. [read post]
