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18 Sep 2009, 1:48 pm
The Toronto Stock Exchange (TSX) announced today that it has adopted and the Ontario Securities Commission (OSC) has approved amendments to the TSX Company Manual respecting, among other things, shareholder approval of changes to security-based compensation plans. [read post]
24 Jan 2024, 3:52 pm
AHR acquires, owns, and operates a portfolio of properties such as medical office buildings, senior housing, skilled nursing facilities and hospitals, according to public filings with the Securities and Exchange Commission. [read post]
9 Mar 2021, 9:03 pm
Securities and Exchange Commission (SEC) approved the New York Stock Exchange’s (NYSE) proposal to allow companies to raise capital by selling shares directly to investors in a transaction known as a direct public offering. [read post]
25 Mar 2012, 5:27 am
Securities and Exchange Commission. [read post]
11 Sep 2024, 8:37 am
As I have more recently observed, Rule 21F-17(a) was adopted pursuant to Section 21F of the Securities Exchange Act (15 U.S.C. [read post]
25 Apr 2008, 9:44 am
On April 23, The Wall Street Journal reported that the Securities and Exchange Commission has refused a congressional request to disclose why the investigation into Bear Stearns was dropped. [read post]
16 Apr 2010, 12:36 pm
The Securities and Exchange Commission (SEC) has charged investment firm Goldman Sachs with fraud in connection to sales of synthetic collateralized debt obligations (CDOs). [read post]
9 Jan 2021, 8:03 am
Securities and Exchange Commission. [read post]
8 Apr 2011, 2:15 pm
government through September, the Securities and Exchange Commission can resume its various rulemaking and enforcement efforts.As part of its many Dodd-Frank Act mandates, the SEC is working on finalizing new disclosure rules regarding conflict minerals and mine safety. [read post]
19 Sep 2024, 3:30 am
Here’s more from the 2-page fact sheet: On September 18, 2024, the Securities and Exchange Commission adopted amendments to [e]stablish a second minimum pricing increment, also known as tick size, of $0.005 under Rule 612 of Regulation NMS for the quoting of certain NMS stocks, which are stocks listed on a national securities exchange, regardless of trading venue…. [read post]
31 Aug 2017, 8:41 am
Gana LLP is examining claims made by the United States Securities and Exchange Commission against broker Michael Siva (Siva). [read post]
12 Apr 2016, 6:29 am
On March 22, 2016, the Division of Corporation Finance of the Securities and Exchange Commission (“SEC”) issued a Compliance and Disclosure Interpretation (“C&DI”) regarding the form of proxy requirements outlined in Rule 14a-4 under the Securities Exchange Act of 1934, as amended. [1] In particular, the C&DI relates to the requirement in Rule 14a-4(a)(3) that the form of proxy “identify clearly and impartially each… [read post]
29 Feb 2020, 6:36 am
Securities and Exchange Commission (“SEC” or “Commission”) on the Procedural Requirements and Resubmission Thresholds under Exchange Act 14a-8 (the “Proposed Rule”). [read post]
19 Apr 2012, 12:29 pm
The Securities and Exchange Commission recently charged optionsXpress, and online brokerage and clearing agency specializing in options and futures, as well as four officials at the firm and a customer involved in an abusive naked short selling scheme. [read post]
9 Nov 2023, 11:07 am
Securities and Exchange Commission (SEC) offers mandatory awards to qualified whistleblowers which are for 15-30% of the sanctions collected by the SEC in the enforcement action aided by the whistleblower’s disclosure. [read post]
9 Nov 2011, 8:48 pm
Yesterday, the US Securities and Exchange Commission approved rule changes requested by the three major US stock exchanges, Nasdaq, the NYSE Amex and the New York Stock Exchange. [read post]
24 Feb 2015, 5:04 pm
Securities and Exchange Commission leadership and staff members addressed the public on February 20-21 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
28 Jul 2011, 10:14 pm
Interestingly, a settlement in May 2006 with the Securities Exchange Commission required the notice. [read post]
24 Jan 2021, 3:35 am
Shortly before the end of his tenure as Chair of the Securities and Exchange Commission (SEC), Chair Jay Clayton presided over the SEC as it considered and approved the New York Stock Exchange’s (NYSE) proposed rule change modifying the NYSE’s rules in order to permit, as described below, primary issuances in connection with a direct listing of a class of the issuer’s equity securities on the exchange. [read post]
5 Feb 2008, 12:56 pm
The Securities and Exchange Commission today announced that its professional staff has commenced a cost-benefit study of an upcoming auditor attestation requirement for smaller companies under Section 404(b) of the Sarbanes-Oxley Act of 2002.The study will collect and analyze extensive "real world" cost and benefit data from a broad array of companies currently complying with Section 404 under newly-issued guidance for companies and auditors. [read post]
