Search for: "Securities and Exchange Commission"
Results 221 - 240
of 26,311
Sorted by Relevance
|
Sort by Date
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
11 Dec 2011, 6:17 am
Securities and Exchange Commission. [read post]
26 Jul 2021, 3:00 am
Customers Were Allegedly Unsuitably Sold Complex Exchange-Traded Products UBS Financial Services (UBS) has agreed to a censure and will pay an $8M fine in the Securities and Exchange Commission’s (SEC) civil case accusing the brokerage firm of failing to properly supervise its brokers. [read post]
17 Jul 2011, 9:22 am
Jackson Jr. have posted The Law and Economics of Blockholder Disclosure on SSRN with the following abstract: This paper, which is based on our recent submission to the Securities and Exchange Commission, provides a... [read post]
15 Mar 2009, 11:45 am
Corporate Therapeutics at the Securities and Exchange Commission, by Jayne W. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
11 Jun 2010, 2:37 pm
Forty leading securities lawyers urged Congress to allow the Securities and Exchange Commission to keep the hundreds of millions of dollars in fees it collects each year and use them to support its operations. [read post]
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details regarding securities lending transactions. [read post]
THE BEATINGS WILL CONTINUE until the market improves. “The US Securities and Exchange Commission ha…
26 Aug 2010, 6:17 pm
“The US Securities and Exchange Commission has vowed to bring more high-profile enforcement actions against Wall Street over the financial crisis. [read post]
26 Oct 2023, 6:31 am
Securities and Exchange Commission. [read post]
26 Oct 2023, 6:31 am
Securities and Exchange Commission. [read post]
9 Dec 2011, 12:49 pm
The Ontario Securities Commission today issued a notice approving Alpha Group's application to become a recognized exchange. [read post]
17 Oct 2019, 8:18 am
For example, the data will not you tell the effect on spreads across different classes of securities if rebate-sensitive orders can just go next door to another NYSE-sponsored exchange that pays rebates. [read post]
SEC Complaint Against Yorkville Advisors, LLC, Mark Angelo, Edward Schinik Alleging Securities Fraud
17 Oct 2012, 8:41 am
Today, attorneys at the Securities and Exchange Commission filed a securities fraud complaint against Yorkville Advisors, LLC, Mark Angelo, Edward Schinik alleging securities fraud. [read post]
SEC Complaint Against Yorkville Advisors, LLC, Mark Angelo, Edward Schinik Alleging Securities Fraud
17 Oct 2012, 8:41 am
Today, attorneys at the Securities and Exchange Commission filed a securities fraud complaint against Yorkville Advisors, LLC, Mark Angelo, Edward Schinik alleging securities fraud. [read post]
27 May 2011, 4:05 am
The regulator, the Securities and Exchange Commission, has finally adopted implementing regulations. [read post]
