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12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
23 Sep 2010, 8:18 am
Securities and Exchange Commission. [read post]
4 Nov 2010, 6:32 am
Securities and Exchange Commission. [read post]
30 Dec 2011, 7:27 am
Securities and Exchange Commission. [read post]
9 Nov 2017, 1:40 pm
Buck has also agreed to a monetary settlement with the Securities and Exchange Commission (“SEC”) in the amount of approximately $5 million. [read post]
7 Apr 2011, 10:56 pm
For a payment of $11.2 million, Wells Fargo & Co. will settle US Securities and Exchange Commission allegations that Wachovia Capital Markets LLC misled investors and improperly sold two collateralized debt obligations in 2007 and 2006. [read post]
27 Mar 2012, 6:58 am
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that investors purchase risky tenant-in-common (or TIC) investments, including American Investment Exchange TICs. [read post]
22 May 2010, 5:55 am
Currently, the program run by the Securities and Exchange Commission only pays out to informants in insider-trading cases. [read post]
15 Oct 2010, 6:00 am
On September 9, 2010, the Securities and Exchange Commission granted accelerated approval of the New York Stock Exchange’s proposed amendments to Rule 452. [read post]
12 Mar 2007, 12:04 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed fraud charges [press release] Monday against former executives of Canadian telecommunications manufacturer Nortel Networks [corporate website; JURIST news archive], accusing the corporation of misleading investors. [read post]
27 Apr 2017, 6:22 am
On March 10, 2017, the US Securities and Exchange Commission (SEC) issued an order (the BZX Order) disapproving a rule change that Bats BZX Exchange (BZX) had proposed to list and trade shares issued by the Winklevoss Bitcoin Trust. [read post]
28 Feb 2020, 4:00 am
Blazer settled a civil complaint against him from the Securities and Exchange Commission for $1.8M. [read post]
13 Oct 2015, 8:13 am
On September 30, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the Central District of Illinois (the “Complaint”), charging the former CEO, President and Chairman of the Board, David P. [read post]
27 Jul 2012, 6:16 am
Securities and Exchange Commission. [read post]
16 Apr 2010, 2:54 pm
The United States Securities Exchange Commission (SEC) today brought a securities fraud action against Goldman Sachs and one of its vice presidents, accusing them of misstating and omitting key facts about a financial product tied to subprime mortgages it sold as the housing market was showing signs of distress. [read post]
15 Apr 2010, 6:50 am
Securities and Exchange Commission (SEC) yesterday proposed creating a "large trader" reporting system that would identify large market participants, collect information regarding their trades and analyze their trading activity. [read post]
23 Jul 2020, 6:06 am
Securities and Exchange Commission. [read post]
5 Jun 2008, 8:21 pm
On May 6, 2008, the Securities and Exchange Commission (the “SEC” or “Commission”) proposed various amendments to, and provided new clarifying guidance regarding, the rules governing cross-border transactions. [read post]
