Search for: "U. S. Securities and Exchange Commission"
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19 Jan 2015, 8:04 am
Securities and Exchange Commission. [read post]
5 Aug 2008, 7:12 pm
Finnerty moved to dismiss the indictment on the ground that neither interpositioning nor trading ahead is deceptive or manipulative, and, as a result, his conduct did not constitute fraud under Section 10(b) of the Securities Exchange Act of 1934 and Securities & Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
14 Oct 2014, 8:58 pm
Securities and Exchange Commission Chair Mary Jo White, U.S. [read post]
11 Feb 2019, 9:34 am
House Bill 1053, the Corporate Political Disclosure Act of 2019, would require publicly traded corporations to disclose political expenditures, through the Securities and Exchange Commission, to their shareholders and to the general public. [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
2 Mar 2019, 10:04 am
Executives for Johnson & Johnson recently revealed the company has received subpoenas from the Securities and Exchange Commission, the U.S. [read post]
26 Mar 2021, 11:03 am
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of, among other things, licensing broker-dealers. [read post]
13 Mar 2023, 6:10 am
Andy Biggs (R-AZ) and Pat Fallon (R-TX), has proposed impeaching Department of Homeland Security (DHS) Secretary Alejandro Mayorkas for his role in carrying out Biden’s immigration policies. [read post]
30 Apr 2012, 6:47 am
For example, as discussed below, after a long series of no-action letters, the Securities and Exchange Commission (“SEC”) issued interpretive guidance providing that securities issued or guaranteed by U.S. branches of a foreign bank (but not its non-U.S. branches) could rely on the exemption from registration afforded to securities issued or guaranteed by a bank under Section 3(a)(2) of the Securities Act of 1933… [read post]
Two Pending Cases Before the U.S. Supreme Court Could Substantially Impact New Jersey Employment Law
2 Feb 2024, 8:05 am
This is part of the dispute now before the Supreme Court in Securities and Exchange Commission v. [read post]
15 Sep 2017, 9:24 am
SEC, that the Securities and Exchange Commission (SEC) ALJs were “inferior Officers” who are subject to the provisions of the U.S. [read post]
12 Dec 2023, 9:30 am
As required by law, Nvidia has submitted information to the Securities and Exchange Commission listing its subsidiary companies. [read post]
15 Apr 2016, 9:25 am
’”[viii] There are others who have expressed concerns regarding the DOL rule, including the Securities and Exchange Commission, the insurance and securities industries, as well as politicians, which shall be discussed in future postings.Still, many in the government feel the rule is a victory. [read post]
18 May 2023, 6:09 am
While CEPA applies to all employers in New Jersey, the whistleblower protection provisions in SOX only apply to employers that are also publicly-traded corporations governed by the Securities Exchange Act of 1934 and Securities and Exchange Commission (SEC) regulations. [read post]
31 Jan 2016, 6:06 am
Securities and Exchange Commission. [read post]
11 Nov 2011, 6:05 am
Securities and Exchange Commission. [read post]
10 Mar 2014, 9:01 pm
Gox’s rescue, regulars have turned their gaze to other Bitcoin exchanges and the future of such activity. [read post]
1 Oct 2017, 3:22 pm
At the federal level, regulators can be clustered in the following areas: Depository regulators—Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), and Federal Reserve for banks; and National Credit Union Administration (NCUA) for credit unions; Securities markets regulators—Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC); Government-sponsored enterprise (GSE)… [read post]
31 Jul 2023, 3:15 am
” In addition, the Securities Exchange Act of 1934 imposes “regular reporting requirements on companies whose stock is listed on national securities exchanges. [read post]
