Search for: "U. S. Securities and Exchange Commission"
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12 Dec 2018, 6:03 am
Securities and Exchange Commission. [read post]
10 Dec 2019, 10:43 am
Securities and Exchange Commission. [read post]
28 Jun 2018, 6:00 am
Facts of Lucia v Securities and Exchange Commission The Securities and Exchange Commission (SEC or Commission) has statutory authority to enforce the nation’s securities laws. [read post]
21 Jul 2013, 10:00 pm
., April 16, 2013) The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]
26 Sep 2017, 11:34 am
Securities and Exchange Commission. [read post]
18 Aug 2017, 7:45 am
Securities and Exchange Commission. [read post]
17 Aug 2023, 1:02 pm
Securities and Exchange Commission (SEC) has proposed a set of new rules intended to create a consistent, comparable, and reliable source of information regarding climate change impacts and sustainability efforts to inform and protect investors while facilitating further innovation in this evolving area. [read post]
3 Jun 2020, 6:17 am
Securities and Exchange Commission (SEC) if the Public Company Accounting Oversight Board (PCAOB) is prevented from reviewing the companies’ audits. [read post]
15 Jun 2011, 5:00 pm
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [read post]
3 Oct 2022, 7:52 am
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
25 Mar 2021, 1:04 pm
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation appeared first on Newman & Shapiro. [read post]
16 Feb 2017, 8:40 am
Securities and Exchange Commission [Public domain], via Wikimedia Commons By U. [read post]
17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
17 Nov 2022, 12:25 pm
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
16 Aug 2017, 1:30 pm
Amidst much anticipation, on July 25, 2017, the Securities and Exchange Commission (“SEC”) released a Report of Investigation (“Report”) under Section 21(a) of the Securities Exchange Act of 1934 warning the market that “tokens” issued in ICOs may be “securities” such that the full breadth of the U.S. federal securities laws may apply to their offer and sale. [read post]
16 May 2017, 6:21 am
Securities and Exchange Commission, on Tuesday, May 16, 2017 Editor's Note: Michael S. [read post]
14 Feb 2021, 5:35 am
Securities and Exchange Commission (SEC) failed to properly investigate Bernard Madoff’s multi-billion-dollar Ponzi scheme... [read post]
14 Aug 2018, 4:17 pm
Securities and Exchange Commission (SEC) has a three-part mission: Protect investors Maintain fair, orderly, and efficient markets Facilitate capital formation I think it needs to add: "Ensure proper entity identification. [read post]
12 Sep 2021, 3:58 am
-China Economic and Security Review Commission was created by the United States Congress in October 2000 with the legislative mandate to monitor, investigate, and submit to Congress an annual report on the national security implications of the bilateral trade and economic relationship between the United States and the People’s Republic of China, and to provide recommendations, where appropriate, to Congress for legislative and administrative action. [read post]
WHAT CONSTITUTES “SUBSTANTIAL EVIDENCE” TO SUPPORT AN SEC FINDING OF A FALSE STATEMENT IN A FORM U-4
31 Aug 2009, 10:49 am
The National Adjudicatory Council and the Securities and Exchange Commission affirmed the findings of the Hearing Panel. [read post]
