Search for: "US Securities and Exchange Commission"
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19 Oct 2018, 6:47 am
Securities & Exchange Commission Employees and Another Individual" (DOJ Release) https://www.justice.gov/usao-edca/pr/tracy-man-convicted-making-harassing-phone-calls-us-securities-exchange-commission. [read post]
19 Aug 2016, 2:00 pm
The Securities and Exchange Commission has dismissed fraud charges against a Pikesville man three years after an administrative law judge ruled his trading strategy was illegal. [read post]
13 Nov 2018, 9:30 am
On November 8, the Securities and Exchange Commission (“SEC“) announced that it has settled charges against Zachary Coburn, the founder of EtherDelta, a digital token trading platform. [read post]
17 Nov 2010, 5:00 am
Sources: Securities and Exchange Commission’s FY 2010 Performance and Accountability Report SEC’s Strategic Plan for Fiscal years 2010-2015 [read post]
13 Jan 2013, 5:34 am
Securities and Exchange Commission ("SEC") effectively froze the creation of actively managed and leveraged exchange traded funds ("ETFs") that utilize options, futures, swaps, and other derivatives as part of their investment strategies, the SEC has lifted the moratorium on the use of derivatives by actively managed funds while continuing to restrict the use of derivatives by leveraged ETFs. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
17 Jan 2023, 10:29 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
16 Sep 2005, 2:42 pm
[JURIST] Leading Friday's corporations and securities law news, the US Securities and Exchange Commission [official website] has formally set out its plans to alleviate corporate financial strain caused by Hurricane Katrina [JURIST news archive]. [read post]
27 Feb 2003, 9:48 pm
[JURIST] Securities and Exchange Commission v. [read post]
28 Jul 2005, 6:28 pm
Christopher Cox [Wikipedia profile]'s nomination to head the Securities and Exchange Commission (SEC) [official website]. [read post]
19 Sep 2005, 11:37 am
[JURIST] Leading Monday's corporations and securities law news, the US Government Accountability Office (GAO) [official website] has released a report urging the Securities and Exchange Commission [official website] (SEC) to improve its oversight of the mutual funds industry. [read post]
7 Nov 2022, 10:36 am
The US Supreme Court Monday heard oral arguments in Securities and Exchange Commission v. [read post]
17 Aug 2021, 8:45 pm
On 16 August 2021, the European Central Bank (ECB) and the United States’ Securities and Exchange Commission (SEC) signed a memorandum of understanding to prepare for the registration of ECB-supervised entities as security-based swap dealers or major security-based swap participants in the United States. [read post]
