Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
21 Jun 2011, 1:00 pm
The United Kingdom is a key law enforcement and counterterrorism partner of the United States. [read post]
7 Apr 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
13 May 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
24 May 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
21 Jun 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
23 May 2017, 3:02 pm
It also comes in the wake of federal departments and agencies, such as DHS, Health and Human Services, and the Securities and Exchange Commission, focusing their efforts on cybersecurity in medical devices, mobile devices, financial services, and the Internet of Things (IoT). [read post]
11 May 2011, 9:00 am
Article 19 provides that the Treaty will enter into force thirty days after the exchange of the instruments of ratification. [read post]
23 Sep 2021, 9:35 am
The Securities and Exchange Commission today filed two complaints in the United States District Court for the Eastern District of New York charging four individuals and five entities for their roles in an allegedly fraudulent microcap scheme that…Read the Full Press ReleaseHave a securities law question? [read post]
29 Nov 2017, 2:15 am
https://www.sec.gov/news/press-release/2017-218The Securities and Exchange Commission filed a Complaint in the United States District Court for the Southern District of Florida charging Joseph A. [read post]
18 Jun 2018, 2:02 pm
On June 12, 2018, the United States Securities and Exchange Commission (“SEC“) issued an Order instituting administrative proceedings, making findings, and imposing remedial sanctions against Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch“), a subsidiary of Bank of America Corporation, pursuant to Section 15(b) of the Securities Exchange Act of 1934. [read post]
5 Apr 2011, 9:00 am
Upon entry into force, this Treaty will supersede the Extradition Treaty between the United States of America and Great Britain, signed at London December 22, 1931, and continued in force between the United States and The Bahamas by an exchange of notes done at Nassau and Washington March 7, June 19 and August 17, 1978. [read post]
4 Dec 2017, 3:41 am
SEC Continues Crackdown on Brokers Defrauding Customers (SEC Press Release 2017-223) https://www.sec.gov/news/press-release/2017-223In Securities And Exchange Commission, Plaintiff, v. [read post]
21 Apr 2015, 12:56 pm
The Securities and Exchange Commission (SEC) announced on April 16, 2015 that it filed a complaint in the United States District Court for the Southern District of New York alleging that Michael J. [read post]
18 Dec 2017, 3:30 am
Aras represents securities industry professionals and firms in enforcement actions and investigations initiated by the United States Securities and Exchange Commission and FINRA, among others. [read post]
1 Feb 2019, 4:00 am
Securities Fraud Charges for Ukrainian MenFederal authorities have charged two Ukrainian men with securities fraud for hacking the Securities and Exchange Commission computer network. [read post]
19 May 2011, 9:00 am
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
