Search for: "Securities and Exchange Commission"
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27 Jul 2010, 7:10 am
Two whistleblowers recently received a $1 million reward from the Securities Exchange Commission (SEC) for providing information in connection with an insider trading case against the hedge fund Pequot Capital and its CEO Arthur Samberg. [read post]
25 Jun 2014, 1:57 pm
Securities and Exchange Commission (SEC) has charged a firm with violations of its pay-to-play rules. [read post]
1 Oct 2014, 1:45 pm
A suit filed by the Republican parties of New York and Tennessee challenging the Securities and Exchange Commission’s (SEC) Pay-to-Play rule has been dismissed by the U.S. [read post]
24 Feb 2010, 4:55 am
On February 22, 2010, Judge Rakoff entered an Order approving the Bank of America’s settlement with the Securities and Exchange Commission over the Meriil merger. [read post]
26 May 2011, 11:19 am
The Securities and Exchange Commission (SEC) has approved rules that will entitle whistleblowers to receive 10 to 30 percent of the money they help the SEC collect through enforcement actions. [read post]
16 Oct 2009, 5:00 am
Sirri, Professor of Finance, Babson College; Director (2006-2009), United States Securities and Exchange Commission Division of Trading and Markets Chester Spatt, Pamela R. and Kenneth B. [read post]
4 Mar 2009, 5:00 pm
The Securities and Exchange Commission announced that on March 4, 2009, it filed a Complaint in the United States District Court for the Middle District of North Carolina against three former executives of Krispy Kreme Doughnuts, Inc.: Scott A. [read post]
14 Dec 2007, 11:28 am
The Financial Industry Regulatory Authority (FINRA) says that Senate Majority Leader Harry Reid has sent to the White House the Democrats' choices to fill their two slots on the Securities and Exchange Commission. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
9 Oct 2014, 10:09 am
On August 27th, 2014, the Securities and Exchange Commission (“SEC”) unanimously decided to revise the rules that govern the disclosure, reporting, and offering of asset-backed securities (“ABS”) which would enhance transparency, better protect investors and facilitate capital formation in the market. [read post]
28 May 2022, 4:09 am
. $5 Million for Improper Variable Annuity Exchanges According to The Securities and Exchange Commission this week, the regulator has reportedly fined RiverSource Distributors Inc., a subsidiary of Ameriprise Financial Services LLC, $5 million for allegedly improperly switching Ameriprise customers’ variable annuities in order to generate commissions. [read post]
5 May 2022, 12:15 am
Securities and Exchange Commission, S. [read post]
13 Dec 2006, 10:22 am
The Securities and Exchange Commission today proposed guidance to make it easier and less costly for companies to comply with internal-controls rules set forth by the Sarbanes-Oxley Act. [read post]
9 Sep 2013, 1:06 pm
David Mura was recently barred by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of unregistered securities away from his associated brokerage firm. [read post]
8 Mar 2023, 4:36 pm
The Financial Services Commission (the “FSC”) in February of 2023 announced a plan to overhaul the Security Token legal regime in Korea. [read post]
8 Jan 2021, 5:52 am
I am writing in regards to the notice that the Securities and Exchange Commission (SEC or the Commission) will, on Wednesday, December 16, 2020, consider adopting rules that “will require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas, or minerals. [read post]
26 Mar 2009, 11:31 am
Securities and Exchange Commission or of my fellow Commissioners. [read post]
21 Jul 2024, 8:23 pm
Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. [read post]
11 Dec 2006, 8:46 am
Securities and Exchange Commission earlier this year. [read post]
6 Aug 2012, 6:39 am
Thomas, partner at Labaton Sucharow LLP and former assistant director at the Securities and Exchange Commission. [read post]
