Search for: "US Securities and Exchange Commission"
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23 Oct 2009, 10:29 am
Securities America, a subsidiary of Ameriprise Financial, is becoming the target of more investor claims filed with the Financial Industry Regulatory Authority (FINRA) over allegations it falsely misrepresented private placement offerings associated with Medical Capital Holdings - the same company that the Securities and Exchange Commission (SEC) has charged in a $2 billion Ponzi scheme. [read post]
2 Feb 2012, 8:11 am
After the financial crisis in 2008, there has been increasing government scrutiny on hedge fund fraud in the US markets. [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
31 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and investment advisors (the PDA Rules). [read post]
13 Apr 2018, 5:00 am
The Securities and Exchange Commission charged Pocklington, his company, his attorney, his accountant and a trio of brokers last week. [read post]
26 May 2022, 5:09 am
The US Court of Appeals for the District of Columbia Circuit Monday ruled the Securities and Exchange Commission (SEC) can keep its revised regulations on how stock market data is collected, consolidated, and disseminated. [read post]
20 Mar 2007, 8:48 pm
Securities and Exchange Commission, we’ll be dancing in the streets. [read post]
29 Jan 2021, 8:50 pm
On 28 January 2021, there was published in the Official Journal of the EU, Commission Implementing Decision (EU) 2021/85 of 27 January 2021 on the equivalence to the requirements of EMIR of the regulatory framework of the United States of America for central counterparties that are authorised and supervised by the US Securities and Exchange Commission. [read post]
22 Apr 2015, 7:13 am
I follow the Morningstar Page daily for useful information on the Korean Stock Exchange. [read post]
