Search for: "Securities and Exchange Commission"
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23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
25 Jul 2014, 6:00 am
Securities and Exchange Commission. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
14 Sep 2018, 8:00 pm
Steele Financial is Accused of Investor Fraud The US Securities and Exchange Commission has filed civil charges against investment advisory firm Steele Financial Inc. and its owner Tamara Steele. [read post]
7 Sep 2022, 7:47 am
The Securities Exchange Act of 1934 This act authorized and created the Securities and Exchange Commission, leading the way for an overseeing agency for the financial markets. [read post]
21 Aug 2015, 9:55 am
Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading. [read post]
14 Oct 2011, 12:51 pm
This June, Raymond James was censured and ordered to cease and desist from further violations by the Securities and Exchange Commission for violations connected to the firmandrsquo;s sales of auction rate securities. [read post]
12 Aug 2014, 4:36 pm
Securities and Exchange Commission recently announced the latest whistleblower bounty awarded under the Dodd-Frank Act, which authorizes rewards for original information about violations of securities laws. [read post]
8 Jun 2021, 5:56 am
Securities and Exchange Commission. [read post]
19 Jun 2011, 2:52 pm
However, the Dodd-Frank Act is less prescriptive with respect to the determination of compensation committee independence, stating instead that SEC rules must require that the national securities exchanges consider relevant factors, including certain fees and affiliations with the issuer. [read post]
4 May 2016, 9:15 pm
Securities and Exchange Commission, urges courts to take the next logical step and rule that it is not. [read post]
23 Jun 2009, 3:07 pm
An organization of attorneys who represent investors in securities arbitrations has filed a petition with the Securities and Exchange Commission to eliminate FINRA's requirement that, in cases over $100,000, one of the three arbitrators must be a person affiliated with the securities industry. [read post]
4 May 2012, 11:52 am
According to Securities and Exchange Commission Enforcement Director Robert S. [read post]
29 Dec 2011, 10:46 am
The Securities and Exchange Commission has issued a proposal seeking to impose larger penalties on wrongdoers. [read post]
19 May 2023, 12:50 pm
The Securities and Exchange Commission is also focusing on conflicts of interest that dual registrants face. [read post]
18 Oct 2023, 8:35 am
In the light of this proposed narrowing down of the scope of the BMR, the Commission proposes to remove the current specific exemption regime for spot foreign exchange benchmarks. [read post]
