Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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6 Sep 2012, 5:39 am
Securities and Exchange Commission. [read post]
20 Dec 2012, 5:20 am
Is your company planning to make compliance program changes in light of new Foreign Corrupt Practices Act guidance from the Department of Justice and the Securities and Exchange Commission? [read post]
31 Oct 2017, 10:23 pm
(“ARCP”), Brian Block, was found guilty of securities fraud and related crimes in connection with reporting false numbers in quarterly filings with the Securities and Exchange Commission (“SEC”). [read post]
SEC Publishes Its Requests for Industry Comment Regarding Its Regulation of Exchange Traded Products
25 Jun 2015, 2:36 pm
On June 12, 2015, the Securities and Exchange Commission (“SEC”) solicited public comment on its approval and regulation of exchange traded products (“ETPs”). [read post]
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
17 Oct 2017, 2:15 am
Securities and Exchange Commission with stealing more than $1 million from clients. [read post]
3 Nov 2011, 9:29 am
Securities and Exchange Commission on occasion provides disclosure guidance on topics of interest to the business and investment communities. [read post]
23 Feb 2018, 4:06 am
Securities and Exchange Commission on Wednesday updated guidance to public companies on how and when they should disclose cyber security risks and breaches, including potential weaknesses that have not yet been targeted by hackers. [read post]
25 Jan 2022, 5:44 am
Securities and Exchange Commission. [read post]
30 Jul 2010, 12:48 pm
On Tuesday, the U.S. [read post]
13 Jul 2015, 3:18 pm
Securities and Exchange Commission, and the U.S. [read post]
26 Jun 2020, 6:01 am
Securities and Exchange Commission. [read post]
16 Dec 2009, 6:50 am
Securities and Exchange Commission (SEC) announced on Monday that it is reopening the comment period for its proposals on shareholder director nominations. [read post]
17 May 2022, 6:50 am
The Securities and Exchange Commission (SEC) today charged Allianz Global Investors U.S. [read post]
10 Sep 2017, 6:15 am
Securities and Exchange Commission (SEC) which disclosed a patent assignment agreement made with Armonk, NY-based information technology giant IBM (NYSE:IBM). [read post]
1 Aug 2013, 6:23 am
Securities and Exchange Commission. [read post]
21 Feb 2012, 6:33 am
Securities & Exchange Commission (10-429, 2nd Circuit, February 14, 2012), Petitioner Scott Mathis sought the review of a Securities and Exchange Commission (? [read post]
16 Dec 2010, 6:25 pm
By Jonathan Halpern and Thomas Kokalas Under a rule proposed by the Securities and Exchange Commission, oil, gas and mining companies listed on U.S. stock exchanges would be required to disclose payments they made to foreign governments or the United States government in connection with a broad swath of activity, from exploration to oil processing. [...] [read post]
30 Oct 2017, 2:57 pm
Securities and Exchange Commission issued three related no-action letters. [read post]
