Search for: "US Securities and Exchange Commission"
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27 Feb 2019, 9:51 am
Vanessa Countryman, '05:Named Acting Secretary at the Securities and Exchange Commission US Securities and Exchange Commission [read post]
5 Apr 2022, 8:49 am
On 4 April 2022, the European Commission adopted a decision declaring that a number of United States (US) exchanges supervised by the US Securities Exchange Commission (SEC) are equivalent to EU regulated markets. [read post]
27 Aug 2022, 6:44 am
The Securities and Exchange Commission has added two amendments to its whistleblower program. [read post]
3 Aug 2017, 6:06 am
The post Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology appeared first on Private Business Counsel. [read post]
20 Apr 2021, 4:27 pm
CRS report – Climate Change Risk Disclosures and the Securities and Exchange Commission, April 20 2021: “Potential risks to the U.S. financial system from climate change have attracted growing attention in government, academia, and media, raising questions about the roles of financial regulators in addressing such risks. [read post]
25 May 2023, 7:24 am
He can be reached at 617-823-3217 The post Today, I asked ChatGPT: How does the Securities and Exchange Commission use AI to spot insider trading? [read post]
28 Jun 2018, 6:00 am
In Lucia v Securities and Exchange Commission, the U.S. [read post]
7 Apr 2022, 9:00 am
Securities and Exchange Commission. [read post]
28 Sep 2022, 8:06 am
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and can be reached at 978-880-4758 or at Jnewman@Newmanshapiro.com The post Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. [read post]
16 Aug 2021, 7:05 am
The Securities and Exchange Commission and the European Central Bank (ECB) today announced the signing of a Memorandum of Understanding (MOU) to consult, cooperate, and exchange information in connection with the supervision, enforcement, and oversight…Read the Full Press ReleaseHave a securities law question? [read post]
2 Jul 2009, 8:37 pm
Further complication … The Securities and Exchange Commission (SEC) reportedly previously investigated suspicions of insider trading between Husband and the hedge fund in stock of Husband’s former employer. [read post]
5 Jun 2004, 5:01 pm
On June 6, 1934, the US Securities and Exchange Commission was established to protect the interests of investors. [read post]
21 Sep 2009, 10:20 am
According to the Courthouse News Service, the Securities and Exchange Commission (SEC) has fined Regions Bank $1 million for its role in an investment scam. [read post]
14 Aug 2008, 6:53 am
[JURIST] The US Securities and Exchange Commission (SEC) announced [press release] on Wednesday that it has reached a tentative agreement [PDF text] with ten US stock exchanges to centralize insider trading controls among the institutions. [read post]
4 May 2023, 12:15 am
The Securities and Exchange Commission yesterday adopted amendments to its rules governing share repurchase disclosures. [read post]
16 Dec 2022, 11:34 am
The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits. [read post]
18 Aug 2017, 7:45 am
Securities and Exchange Commission. [read post]
15 May 2010, 5:00 am
At the Rocky Mountain Securities Conference held in Denver on Friday, May 7, I asked Commissioner Walter how things had changed at the Commission over her long experience with the agency. [read post]
17 Oct 2009, 10:39 pm
Securities and Exchange Commission named Adam Storch, a 29-year-old from Goldman Sachs Group Inc.'s business intelligence unit, as the enforcement division's first chief operating officer.Storch, who joined the SEC Oct. 13, was named to the newly created post of managing executive in the enforcement unit, charged with making the division more efficient, the SEC said today in a statement. [read post]
20 Jul 2022, 2:23 pm
., The Most Curious Rule Proposal in Securities and Exchange Commission History (April 25, 2022). [read post]
