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22 Jul 2022, 7:57 am
In a series of parallel actions announced on July 21, 2022, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) initiated criminal and civil charges against three defendants in the first cryptocurrency insider trading case. [read post]
9 Oct 2009, 8:43 am
Securities and Exchange Commission (SEC) yesterday released for public comment a draft Strategic Plan outlining its mission, values and strategic goals for fiscal years 2010 to 2015. [read post]
31 May 2012, 11:46 am
The American Bar Association is in strong favor of self-funding for both the Commodity Futures Trading Commission and the Securities and Exchange Commission. [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]
20 Feb 2013, 7:50 am
On January 24, President Obama announced his nominee for Chairman of the Securities Exchange Commission – Mary Jo White, a former United States Attorney for the Southern District of New York. [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]
3 Dec 2018, 8:43 pm
The dividing lines were apparent at Monday’s argument in Lorenzo v Securities and Exchange Commission, as several justices seemed to think it self-evident that the conduct of petitioner Francis Lorenzo amounted to a fraudulent scheme under the federal securities laws, while at least one justice, Neil Gorsuch, appeared ready to rule for Lorenzo. [read post]
14 Dec 2018, 6:06 am
Securities and Exchange Commission Posted by Jay Clayton, U.S. [read post]
6 Jun 2011, 12:00 pm
" Furthermore, Green Mountain Coffee's selective disclosure of material non-public information apparently violated Securities and Exchange Commission Fair Disclosure Regulations (Regulation FD). [read post]
4 Nov 2010, 6:32 am
Securities and Exchange Commission. [read post]
23 Sep 2010, 8:18 am
Securities and Exchange Commission. [read post]
30 Dec 2011, 7:27 am
Securities and Exchange Commission. [read post]
5 Aug 2007, 5:03 pm
Washington lawyer Peggy Blake, who recently joined Winston & Strawn as a corporate partner, reports her foreign financial services clients are "very optimistic" about the movement afoot at the Securities and Exchange Commission to adopt a mutual recognition regime. [read post]
8 May 2019, 12:36 pm
Securities and Exchange Commission. [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]
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]
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]
