Search for: "Securities and Exchange Commission"
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1 Feb 2011, 8:40 am
The Securities and Exchange Commission (SEC) approved Financial Industry Regulatory Authorityandrsquo;s proposed rule change to provide customers in all FINRA arbitrations the option of having an all public panel. [read post]
25 May 2016, 6:02 am
Securities and Exchange Commission in the Division of Economic and Risk Analysis. [read post]
26 Apr 2018, 11:24 am
Securities and Exchange Commission. [read post]
9 May 2019, 11:28 am
Securities and Exchange Commission. [read post]
9 May 2016, 6:02 am
Securities and Exchange Commission in the Division of Economic and Risk Analysis. [read post]
1 Nov 2021, 6:29 am
Securities and Exchange Commission. [read post]
22 Mar 2022, 6:02 am
Securities and Exchange Commission. [read post]
6 Oct 2021, 6:52 am
Securities and Exchange Commission. [read post]
What type of “insider trading” is prohibited by the CFTC within the commodities and futures markets?
28 Feb 2011, 11:36 am
Generally, regulation of the U.S. financial markets is divided between the Securities and Exchange Commission (“SEC”), with authority over securities, and the Commodity and Futures Trading Commission (“CFTC”), with authority over futures/derivatives. [read post]
20 Jun 2008, 2:32 pm
District Court judge again dismisses securities case against Merchant Capital LLC": law.com provides a report that begins, "Judge Marvin Shoob has again dismissed a fraud case by Atlanta lawyers for the Securities and Exchange Commission against an investment company, despite a strong suggestion from a federal appeals court that the investment company did wrong and deserved to be punished. [read post]
15 Aug 2008, 9:10 pm
Today the Securities & Exchange Commission and an auction-rate securities task force composed of various state regulators announced that they had entered into a tentative settlement with Wachovia which would require Wachovia to buy-back approximately $9 billion of auction-rate securities. [read post]
28 Jul 2009, 12:04 pm
Securities and Exchange Commission yesterday announced that it is taking further steps in an attempt to curtail abusive "naked" short selling in equity securities and improve transparency respecting short sales generally. [read post]
28 May 2009, 4:00 am
On May 14, the Securities Exchange Commission said they were proposing New Custody Rules for Investment Advisers. [read post]
11 Jul 2011, 6:12 pm
According to ex- SEC's Office of International Corporate Finance chief Sarah Hanks, there is the strong possibility that Congress or the Securities and Exchange Commission will modify the agency’s ban on the general solicitation for private securities offerings and the number of shareholders that trigger reporting requirements. [read post]
15 Oct 2007, 2:03 pm
The Securities and Exchange Commission and U.S. [read post]
29 Jan 2007, 10:25 pm
Walter may face civil charges brought by the Securities and Exchange Commission over a previously disclosed accounting and financial reporting matter. [read post]
25 Oct 2022, 3:15 am
The speech focused on the role of competition in what the Securities and Exchange Commission does, and how the agency employs the tools that it has across the fixed income, equity, and private markets. [read post]
12 Mar 2008, 1:11 am
(“FSAH”) received subpoenas from the Securities and Exchange Commission and the Antitrust Division of the U.S. [read post]
9 May 2007, 5:21 am
We begin the exploration of the Commission’s role in the corporate governance process, something discussed at length in my paper, Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure. [read post]
28 Feb 2007, 12:00 pm
Securities and Exchange Commission. [read post]
