Search for: "United States Securities and Exchange Commission"
Results 181 - 200
of 5,161
Sorted by Relevance
|
Sort by Date
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
9 May 2011, 9:00 am
ARTICLE III Place of Commission of Offense 1. [read post]
8 Jul 2022, 3:59 am
The Certified Financial Planner Board (“CFP Board”) temporarily suspended Western International Securities Broker Patrick Egan after both the broker and firm were sued by the United States Securities and Exchange Commission (“SEC”) for selling GWG L Bonds that were not in the best interests of their customers. [read post]
29 Apr 2011, 1:00 pm
Ford, President of the United States of America, proclaim and make public the Treaty, Protocol of Signature, and the exchange of notes, to the end that they shall be observed and fulfilled with good faith on and after January 21, 1977, by the United States of America and by the citizens of the United States of America and all other persons subject to the jurisdiction thereof. [read post]
13 Nov 2011, 6:32 pm
Securities and Exchange Commission ("SEC") is not the only regulator keeping tabs on securities. [read post]
16 Jun 2011, 9:00 am
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
11 Jul 2022, 3:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6551/securities-industry-commentator/GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq (BrokeAndBroker.com Blog)5Cir Sustains SEC's No-Deny Precondition for SettlementsSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
24 Apr 2015, 4:09 pm
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
23 Jul 2018, 11:50 am
Members of the Federal Elections Commission (FEC), the court found, were “officers of the United States” and thus were subject to the Appointments Clause: We think that the term “Officers of the United States,” as used in Art. [read post]
1 Nov 2022, 8:38 am
In December 2020, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the Southern District of New York against Ripple Labs, Inc. [read post]
11 Jan 2017, 10:36 am
Just before the clock struck 2017, the United States Court of Appeals for the Tenth Circuit weighed in on the constitutionality of the United States Securities and Exchange Commission’s (“SEC” or “Commission”) administrative law judges. [read post]
2 Sep 2010, 9:06 am
No. 08-1191, the Court ruled, in a private securities fraud action, that section 10(b) of the Exchange Act applies only to transactions in securities listed on United States exchanges and transactions in other securities that occur in the United States. [read post]
8 Jun 2011, 1:00 pm
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
26 Nov 2021, 1:12 pm
The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy voting advice. [read post]
26 Nov 2021, 5:18 am
The SEC…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and Content from Securities Regulators and Top Securities Lawyers [read post]
14 Oct 2011, 12:09 pm
Securities and Exchange Commission said in September it wants the Shanghai unit of Deloitte Touche Tohmatsu Ltd., the audit, tax and financial services firm, to turn over documents regarding its work for a Cayman Islands-based company called Longtop Financial Technology Ltd. [read post]
12 May 2011, 1:00 pm
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
14 Jun 2011, 1:00 pm
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
28 Jun 2011, 11:47 am
Securities and Exchange Commission, the agency announced on Tuesday that it had $230 million held in a hedge fund's offshore account returned to the United States, where it will remain frozen while the agency's fraud case proceeds. [read post]
6 Mar 2014, 8:43 am
Madoff Investment Securities LLC. sought to hold the United States liable for the failure of the United States Securities and Exchange Commission (the “SEC”) to detect Bernard Madoff’s Ponzi scheme over a 16-year period and for the financial losses sustained. [read post]
