Search for: "U. S. Securities and Exchange Commission"
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27 Nov 2014, 12:00 am
[xxxviii] Since Bitcoin has gained so much traction from people investing in bitcoins as capital assets, it seems fitting that the Securities and Exchange Commission (“SEC”) regulate it, as the SEC’s mission is to monitor the capital markets to ensure investors are operating in a fair and efficient marketplace. [read post]
22 May 2023, 9:05 pm
However, the similarities to Europe’s continuous disclosure regime are limited. [read post]
26 Aug 2014, 10:43 pm
He was accused by the Securities and Exchange Commission (SEC) of violating Section 17(a)(2) of the Securities Act of 1933. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
16 Sep 2014, 8:36 pm
The merger depended upon Securities and Exchange Commission approval of a registration statement on the deal. [read post]
23 Nov 2022, 5:04 pm
The Congressional-Executive Commission on China (CECC), issued today the Commission’s 2022 Annual Report on human rights conditions and rule of law developments in the People’s Republic of China (PRC). [read post]
9 Jul 2021, 5:51 am
Although the bill is unlikely to become law due to expected opposition in the US Senate, which requires a 60-vote supermajority to pass legislation, the passage of the HR 1187 by the House—combined with President Biden’s focus on climate-related risks in his meeting with financial regulators—should bolster and influence the US Securities and Exchange Commission’s (SEC) ongoing development of new ESG disclosure requirements for US… [read post]
5 Sep 2014, 5:26 pm
The International Organization of Securities Commissions (IOSCO) developed a broad set of 19 principles that reference rates and other financial benchmarks are now expected to meet. [read post]
19 Feb 2024, 10:00 pm
This resource includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to material ESG matters. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
21 Apr 2022, 5:45 am
Securities and Exchange Commission. [read post]
21 Apr 2022, 5:45 am
Securities and Exchange Commission. [read post]
19 Dec 2022, 1:38 pm
Securities and Exchange Commission (SEC). [read post]
1 Apr 2024, 6:44 am
It prohibits retaliation against employees who engage in certain activities, including: – Assisting or participating in an internal investigation of suspected wrongdoing under federal fraud statutes or securities regulations; – Assisting or participating in an investigation by the Securities and Exchange Commission (SEC), Congress, or another federal agency involving alleged fraud or securities violations; and – Filing a complaint with… [read post]
19 Jun 2015, 8:58 am
On March 25, 2015, the Securities and Exchange Commission (the “SEC”) announced that it was adopting final rules amending and updating Regulation A. [read post]
31 May 2023, 5:31 am
The following entities are exempt from coverage under the law: Body, authority, board, bureau, commission, district, or agency of this state or any political subdivision of this state; Nonprofit organization; Institution of higher education; National securities association that is registered under 15 U.S.C. 78o-3 of the federal Securities Exchange Act of 1934; A financial institution or an affiliate of a financial institution governed by Title V of… [read post]
25 Sep 2023, 7:47 am
Plaintiff also states that this action is related to another case pending in this court, in which the United States Securities and Exchange Commission is suing several of the same defendants. [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
3 Nov 2009, 3:41 am
They also alleged that Vinar was negligent in failing to seek reformation of the National Association of Securities Dealers, Inc., Form U-5 (hereinafter the U-5), provided by the plaintiff's employer to remove an allegedly false or defamatory statement contained therein regarding the reason for the termination of her employment. [read post]
