Search for: "Securities and Exchange Commission"
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2 Apr 2015, 5:53 am
It was not the Securities and Exchange Commission's ("SEC's") finest hour -- some would even say it was a lost decade of regulation. [read post]
25 Jun 2008, 7:17 pm
Without admitting to our denying any wrongdoing, Citigroup has agreed to settle Securities and Exchange Commission charges that it took part in improper accounting related to specific Argentine bonds. [read post]
17 Nov 2021, 2:07 pm
Congress has established whistleblower programs with monetary awards to incentivize individuals to report possible violations of the federal securities laws to the Securities & Exchange Commission and the Commodities Futures Trading Commission. [read post]
20 Mar 2012, 5:37 pm
As part of its ongoing efforts to create a sounder financial system, the European Commission has proposed a common EU regulatory framework for the institutions responsible for securities settlement, called Central Securities Depositories (CSDs). [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
26 Sep 2019, 7:09 am
The Securities and Exchange Commission today announced that is has voted to adopt a new rule and form amendments that are designed to modernize the regulation of exchange-traded funds (ETFs), by establishing a clear and consistent framework for the vast…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
22 Jun 2015, 5:26 am
The Securities and Exchange Commission on June 19 issued Release No. 33-9850 (full text) formally interpreting the terms "spouse" and "marriage" in the federal securities laws and rules to include same-sex spouses and same-sex marriages where the couple is lawfully married under state law, regardless of their domicile. [read post]
17 Jan 2023, 10:29 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
18 Oct 2018, 7:57 am
The Commission also observed that the exchanges’ statistical analyses fell short, including in one instance by not properly comparing data before and after BATS became a national securities exchange. [read post]
11 Jul 2022, 11:01 am
Crypto-Exchanges argue consistently that cryptocurrencies like Bitcoin are not securities – because if they are, then the purchase, sale, and exchange of Bitcoin will have to be handled like any securities transaction offered through a brokerage firm. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
8 Dec 2010, 3:22 pm
The Commission envisions a critical role in the derivatives regulatory regime for the new European Securities and Markets Authority (ESMA). [read post]
Securities and Exchange Commission Approves Improvements To The NASD's Code of Arbitration Procedure
29 Jan 2007, 4:46 am
Related Web Resource: Code of Arbitration Procedure, NASD Securities and Exchange Commission [read post]
12 Apr 2011, 6:06 am
Securities and Exchange Commission. [read post]
7 Oct 2010, 2:13 pm
The Securities and Exchange Commission is looking into the sale of model portfolios comprised of exchange-traded funds that are being sold by financial advisers, InvestmentNews reported. [read post]
4 Sep 2010, 3:25 pm
The documents covered by the Commission’s decision are those defined under Article 47 of the Statutory Audit Directive (2006/43/EC), which are audit working papers or other documents held by auditors or audit firms relating to the audits of companies which have issued securities in the US or which form part of a group issuing statutory consolidated accounts in the US. [read post]
29 Jun 2015, 12:01 pm
On June 12, the Securities and Exchange Commission announced that it is seeking public comments on issues relating to listing and trading of new, novel, or complex exchange-traded products. [read post]
17 Jun 2017, 7:32 am
The New Jersey Supreme Court has declined to impose reciprocal discipline based on a sanction imposed by the Securities and Exchange Commission. [read post]
31 Jul 2012, 12:55 pm
The Securities and Exchange Commission lost its lawsuit against Brian Stoker, who was accused of negligence in preparing sales materials for a C.D.O. [read post]
