Search for: "International Securities Exchange"
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25 Aug 2023, 6:16 am
The Securities and Exchange Commission today announced that 3M Company agreed to pay more than $6.5 million to resolve charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). [read post]
26 Nov 2019, 1:28 pm
The Securities and Exchange Commission today revoked the registration of New York-based investment adviser International Investment Group LLC (IIG), which the Commission recently charged with securities fraud for hiding losses in its flagship hedge fund…Read the Full Press ReleaseHave a securities law question? [read post]
6 May 2022, 8:50 am
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. [read post]
12 Jul 2023, 11:05 am
After repeatedly internally reporting the…Read the Full Press Release Have a securities law question? [read post]
14 Nov 2023, 1:01 pm
The Securities and Exchange Commission today announced settled charges against Charter Communications Inc. for violating internal accounting controls requirements when it engaged in stock buybacks not authorized by its board of directors. [read post]
23 Sep 2022, 1:20 pm
The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in…Read the Full Press ReleaseHave a securities law question? [read post]
18 Jun 2024, 1:35 pm
The Securities and Exchange Commission today announced that R.R. [read post]
16 Nov 2021, 11:29 am
Securities and Exchange Commission (SEC) followed several other anonymous whistleblower disclosures alleging that the tech giant was committing securities fraud. [read post]
12 Jul 2012, 4:49 pm
The Securities and Exchange Commission has approved the New York Stock Exchange LLC and NYSE Amex LLC proposal for a pilot program that lets them set up for one year a private trade execution venue for retail investors. [read post]
20 Jun 2007, 4:46 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] Wednesday moved to ease accounting procedures [meeting agenda; recorded video, (00:41:15) WMV] required for foreign companies trading on US exchanges. [read post]
31 Oct 2013, 1:38 am
The question of when domestic securities laws provide remedies for investors who purchased their shares in foreign companies on foreign exchanges vexed U.S. courts for years until the U.S. [read post]
30 Oct 2020, 8:38 am
Comments on all aspects of the proposal are due 30 days after publication in the Federal Register (Proposed Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with the Portfolio Margining of Swaps and Security-based Swaps that are Credit Default Swaps, Release No. 34-90276, October 28, 2020).2012 exemption. [read post]
6 Apr 2014, 7:42 am
The Creation of International Law Network commenced in Oslo in 2009 as an initiative to provide a space for women scholars of international law to meet each other, exchange ideas, and promote networking across disciplines and generations. [read post]
5 Feb 2019, 10:46 am
Public reporting companies that have material weaknesses in their internal control over financial reporting (“ICFR”) are required under Rule 308 of the Securities Exchange Act of 1934, as amended, to report such material weaknesses in their quarterly and annual reports along with proposed remedial measures. [read post]
3 Apr 2020, 6:22 am
In a rare move, the Securities and Exchange Commission has awarded a corporate compliance official nearly half a million dollars for reporting irregularities within his or her own company. [read post]
28 Nov 2017, 10:20 am
Rejecting arguments by Senator Charles Grassley, the Securities and Exchange Commission (“SEC”) and numerous representatives from the whistleblower community, during today’s oral argument in Digital Realty Trust v. [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, United States Court of Appeals for the District of Columbia Circuit, No. 21-1088 / August 16, 2022)SEC Charges Three Chicago-Area Residents with Insider Trading Around Equifax Data Breach Announcement (SEC Release)SEC Sues Three Entities and Their Founder for Unregistered Crypto Asset Securities Offerings (SEC Release)SEC Charges 18 Defendants in… [read post]
17 Sep 2008, 12:18 am
The Federal Reserve is reportedly taking a nearly 80 percent stake in the world's largest insurance company, the American International Group, in exchange for an $85 billion loan. [read post]
7 May 2014, 5:44 pm
Immigration and Customs Enforcement’s (ICE) Homeland Security Investigations (HSI), released “SEVIS by the Numbers,” a quarterly report of international students studying in the United States, Wednesday.... [read post]
4 Oct 2011, 11:17 am
Recently I wrote about an internal investigation I did for a company which received a whistleblower complaint, sent to executives, the board of directors, and the Securities and Exchange Commission. [read post]
