Search for: "In Re Securities and Exchange Commission"
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1 May 2009, 12:49 pm
Securities and Exchange Commission. [read post]
5 May 2010, 1:19 pm
On April 21, 2010, the Securities and Exchange Commission filed an action in the U.S. [read post]
20 Dec 2011, 10:25 am
Securities and Exchange Commission. [read post]
21 Oct 2022, 7:52 am
So why then do the Securities Exchange Commission (SEC) and other agencies keep warning consumers about Bitcoin-related frauds? [read post]
2 Apr 2020, 4:14 pm
The Commission recognized that the need to comply with Exchange Act regulations pertaining to transfer agents under Section 17A and Section 17(f) may present compliance issues by those affected by COVID-19 (Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder, Release No. 34-88448, March 20, 2020). [read post]
2 Mar 2018, 8:10 am
They're all superior to me. [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
2 Sep 2022, 7:59 am
As reported in the Wall Street Journal, employees of tech companies in Silicon Valley and elsewhere are increasingly coming forward to the Securities and Exchange Commission (SEC). [read post]
15 May 2008, 12:58 pm
 When you buy an exchange-traded fund, you're buying a slice of a diversified portfolio of stocks. [read post]
15 Jun 2023, 4:28 pm
Earlier this week, the Securities and Exchange Commission (“SEC”) published an update to its rulemaking agenda indicating that it does not plan to approve two proposed cyber rules until at least October 2023 (the agenda’s timeframe is an estimate). [read post]
7 Nov 2011, 5:07 am
You’ve probably heard the charges made by politicians and activists that the Securities and Exchange Commission is ineffective and not bringing charges against those who caused the 2008 financial crisis. [read post]
19 Dec 2022, 6:49 am
In May 2022, the Securities and Exchange Commission (SEC) announced that it had filed an emergency action to freeze the assets of StraightPath Venture Partners and other defendants. [read post]
27 Oct 2021, 6:29 am
Is it impossibility or whatever has been made clear for the “bargained for exchange? [read post]
30 Mar 2012, 10:46 am
A key member of the government’s broad probe into insider trading in corporate America is leaving the Securities and Exchange Commission to return private practice. [read post]
22 May 2012, 11:03 am
Senate Banking Committee today in a hearing featuring the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
24 Aug 2010, 11:09 am
A recent ruling of the Securities and Exchange Commission (“SEC”) should serve as a yet another reminder of the importance of adequately preserving electronically stored data. [read post]
26 Apr 2017, 3:15 am
That question is generating a lot of discussion early in the Trump administration as U.S. policy makers consider ways to streamline the federal bureaucracy by potentially merging the Commodity Futures Trading Commission into the Securities and Exchange Commission. [read post]
17 Nov 2011, 5:27 am
The Securities and Exchange Commission (SEC) has begun scrutinizing registration documents submitted by investment advisers to uncover misrepresentations they have made regarding their education, assets under management and other aspects of their firm. [read post]
6 Dec 2011, 6:00 pm
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
30 Sep 2022, 7:37 am
Securities and Exchange Commission regulators about security vulnerabilities on its platform. [read post]
