Search for: "US Securities and Exchange Commission"
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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]
4 Sep 2010, 3:25 pm
The documents covered by the Commission’s decision are those defined under Article 47 of the Statutory Audit Directive (2006/43/EC), which are audit working papers or other documents held by auditors or audit firms relating to the audits of companies which have issued securities in the US or which form part of a group issuing statutory consolidated accounts in the US. [read post]
20 Aug 2010, 5:24 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced [press release] Wednesday that it has charged [order, PDF] the state of New Jersey with securities fraud for failing to disclose to municipal bond investors that it was underfunding two of the state's largest pension plans. [read post]
11 Aug 2015, 6:23 am
Securities and Exchange Commission. [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
Securities and Exchange Commission Approves Improvements To The NASD's Code of Arbitration Procedure
29 Jan 2007, 4:46 am
Related Web Resource: Code of Arbitration Procedure, NASD Securities and Exchange Commission [read post]
22 Mar 2011, 10:04 am
As the US and the EU allow alternative trading venues to compete with exchanges, noted Martin Wheatley, CEO of the Hong Kong Securities and Futures Commission, the resulting market fragmentation must be weighed against benefits to investors such as more competitive pricing and innovative services. [read post]
17 Aug 2011, 6:11 am
Securities and Exchange Commission. [read post]
25 Jan 2008, 5:15 am
In Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure I took the position that the Commission was increasingly using disclosure to affect substantive behavior by officers and directors. [read post]
24 May 2022, 10:34 am
In a watershed opinion, a divided panel of the Fifth Circuit has ruled that the United States Securities and Exchange Commission’s system of in-house administrative tribunals is unconstitutional. [read post]
9 Dec 2019, 7:11 am
Ex-Securities America Broker Investigated For Ponzi Scam Involvement The US Securities and Exchange Commission (SEC) announced that it has permanently barred ex-Securities America broker, Ronald Roach, in the wake of his involvement in a $909M Ponzi fraud. [read post]
15 Mar 2017, 4:26 am
The US Securities and Exchange Commission (SEC) handed a blow to the cryptocurrency when it denied an application by the Winklevoss twins (of Social Network fame) to create an exchange-traded fund (ETF) based on Bitcoin called the Bats BZX Exchange. [read post]
30 May 2019, 6:18 am
Securities and Exchange Commission. [read post]
13 Jan 2017, 8:19 am
[JURIST] The US House of Representatives [official website] approved the SEC Regulatory Accountability Act [materials] on Thursday, which requires the Securities and Exchange Commission [official website] to perform a cost-benefit analysis before implementing any new regulations. [read post]
1 Feb 2019, 4:00 am
Securities Fraud Charges for Ukrainian MenFederal authorities have charged two Ukrainian men with securities fraud for hacking the Securities and Exchange Commission computer network. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
4 Aug 2017, 5:55 am
As a recent press release issued by the Securities and Exchange Commission indicates, on July 31, 2017 the Securities and Exchange Commission (SEC) filed a civil complaint charging four former Atlanta-area brokers — Christopher S. [read post]
21 Jan 2010, 8:12 pm
Here is the abstract: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to climate change-related risks. [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
12 Feb 2019, 12:00 am
Securities and Exchange Commission implied that those engaged in writing and publishing code might need to worry about running afoul of securities laws. [read post]
