Search for: "Securities and Exchange Commission"
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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]
3 Jul 2018, 6:25 am
Securities and Exchange Commission, — U.S. [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]
28 Feb 2020, 4:00 am
Blazer settled a civil complaint against him from the Securities and Exchange Commission for $1.8M. [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]
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]
27 Jul 2012, 6:16 am
Securities and Exchange Commission. [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]
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]
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]
23 Jul 2020, 6:06 am
Securities and Exchange Commission. [read post]
30 Sep 2024, 12:54 pm
This group is co-chaired by Former Securities and Exchange (SEC) Commissioner Allison Herren Lee and former SEC Enforcement Attorney Andrew Feller. [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]
28 Mar 2007, 6:27 am
The Securities and Exchange Commission has charged two former Enron lawyers for their role in the sale of a Brazilian power project to one of the company's infamous partnerships. [read post]
25 Jun 2009, 7:52 am
(Editor’s Note: This post sets forth the text of a letter to the Securities and Exchange Commission by Edward D. [read post]
17 Dec 2018, 3:45 am
On 13 December 2018, the European Commission adopted the following Implementing Regulations under the Regulation on reporting and transparency of securities financing transactions (SFTR) which also amend the European Markets Infrastructure Regulation (EMIR): Commission Implementing Regulation laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions to trade repositories in… [read post]
20 Aug 2018, 12:36 pm
After some ill-advised tweeting, the Tesla CEO is now under investigation by the Securities and Exchange Commission for possible securities fraud. [read post]
6 Mar 2008, 9:02 pm
The Australian Securities and Investments Commission (ASIC) and the Australian Securities Exchange (ASX) have issued three statements to clarify and reinforce existing obligations in relation to share lending and short selling. [read post]
