Search for: "U. S. Securities and Exchange Commission"
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20 Dec 2019, 6:10 am
Securities and Exchange Commission, on Thursday, December 19, 2019 Tags: Accounting, Accounting standards, Accredited investors, Disclosure, Dodd-Frank Act, PCAOB, Regulation D, SEC, Securities regulation, Swaps On Inference When Using State Corporate Laws for Identification Posted by Holger Spamann (Harvard Law School), on Thursday, December 19, 2019 … [read post]
14 Dec 2019, 1:55 am
They examine the differences between the Securities and Exchange Commission [SEC] in America, which is Federal, and the Ontario Securities Commission [OSC] which is provincial. [read post]
10 Dec 2019, 10:43 am
Securities and Exchange Commission. [read post]
5 Dec 2019, 8:30 am
The draft RTS, found in ESMA’s final report, comprises of minor amendments that have been made to the Prospectus RTS Regulation including: pursuant to Article 18 of the Prospectus RTS Regulation, issuers of securities convertible or exchangeable into third party shares are required to publish a supplement to their prospectus. [read post]
14 Oct 2019, 7:52 pm
Treasury Secretary to make additional sanctions designations for persons determined to engage in actions that threaten peace, security, stability or territorial integrity of Syria; commission of human rights abuses; being a Government of Turkey official or subdivision / agency / instrumentality; or operate in a sector of the Turkish economy (making any Turkish company or foreign company operating in the country a potential target). [read post]
28 Sep 2019, 6:00 am
On September 5, 2019, the SEC Investor Advisory Committee (“IAC”) issued a written statement (the “Statement”) to the Securities and Exchange Commission (“SEC”) making recommendations on steps the SEC should take to reform the “complex and multifaceted” U.S. proxy system. [read post]
20 Sep 2019, 8:59 am
According to Salzgaber, INTERPOL has adopted the USNCB’s model under a program called “MILEX” or Military to Law Enforcement Exchange. [read post]
20 Sep 2019, 8:59 am
According to Salzgaber, INTERPOL has adopted the USNCB’s model under a program called “MILEX” or Military to Law Enforcement Exchange. [read post]
26 Jul 2019, 2:00 am
Schonfeld and Amy Mayer The CLS Blue Sky Blog The first half of 2019 has seen a continuation of the Securities and Exchange Commission’s emphasis on protecting the interests of Main Street investors. [read post]
17 Jul 2019, 8:17 am
Reg D private placements are typically sold by brokerage firms in exchange for a large up front commission. [read post]
17 Jun 2019, 4:00 am
Securities Exchange Commission (“SEC”) adopted its long-awaited Regulation Best Interest: The Broker-Dealer Standard of Conduct (the “Best Interest Regulation”). [read post]
16 Jun 2019, 7:35 am
Securities and Exchange Commission (SEC) or the PBOC to audit Chinese companies on Chinese soil is an offense against Chinese government sovereignty. [read post]
8 May 2019, 12:36 pm
Securities and Exchange Commission. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
27 Mar 2019, 6:39 am
On February 19, 2019, the Securities and Exchange Commission (SEC) approved a proposed rule that, if enacted, would permit all issuers to use “test-the-waters” communications (TTW communications). [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]
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]
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]
31 Jan 2019, 1:00 am
As a public company, MGI was required to file a Form 8-K with the Securities and Exchange Commission (SEC) disclosing the agreements. [read post]
