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23 May 2019, 6:17 am
Securities and Exchange Commission. [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]
18 Feb 2014, 10:57 am
Though investors might have assumed that the entire Securities and Exchange Commission was their advocate to begin with, on February 12th the agency announced that it had hired Rick Fleming to be its very first Investor Advocate in the recently created Office of the Investor Advocate (“OIA”). [read post]
6 May 2014, 8:08 am
The Regulation on credit rating agencies requires them to be registered and supervised by the European Securities and Markets Authority (ESMA). [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]
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]
26 Apr 2018, 11:24 am
Securities and Exchange Commission. [read post]
9 May 2019, 11:28 am
Securities and Exchange Commission. [read post]
22 Mar 2022, 6:02 am
Securities and Exchange Commission. [read post]
25 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]
6 Oct 2021, 6:52 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 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]
12 Jan 2021, 6:29 am
On January 1st, 2021, Congress voted to amend the Securities and Exchange Act of 1934 (Exchange Act), enacting into law the following provisions: The Securities and Exchange Commission (SEC) now has statutory authority to seek disgorgement in civil enforcement actions in federal district court; The statute of limitations in certain SEC actions is now tolled while defendants are outside of the United States; and The statute of limitations for… [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]
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]
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]
