Search for: "SECURITIES CORP."
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18 Apr 2012, 1:18 pm
Revocations are made pursuant to Exchange Act Section 12(j), whereas stop orders are made under Securities Act Section 8. [read post]
18 Jun 2020, 3:03 am
Marty truly loved the SEC and Corp Fin. [read post]
9 Apr 2023, 11:00 pm
ORDER WAS SIGNED POST-CUREWhen seeking to stop -- or "toll" -- the running of a commercial lease-default notice, a party is typically required to secure a “Yellowstone” injunction prior to that notice’s expiration. [read post]
12 Nov 2018, 6:08 am
David Peter Kluth & Intervest International Equities Corp. [read post]
29 Apr 2011, 1:42 pm
The SEC obtained a court order freezing the assets of China Voice Holding Corp., which trades in over-the-counter markets and claims to have a portfolio of telecommunications products and services in both the U.S. and China. [read post]
22 Sep 2014, 4:42 pm
ARMY CORPS OF ENGINEERS: The Corps Needs to Take Steps to Identify All Projects and Studies Eligible for Deauthorization, GAO-14-699: Published: Aug 21, 2014. [read post]
27 Jan 2015, 3:34 am
Corp Fin’s answer is: “Yes. [read post]
22 Jun 2010, 2:49 pm
FINRA said that retail securities firm Jesup & Lamont Securities Corp. is out of compliance with net capital rules and ordered it to cease business. [read post]
10 Sep 2012, 2:00 am
Corp. [read post]
10 Sep 2012, 2:00 am
Corp. [read post]
10 Sep 2020, 3:00 am
Yesterday, Corp Fin updated that guidance to address alternatives for handling expiring confidential treatment requests. [read post]
28 Aug 2023, 3:20 am
Corp Fin issued three CDIs back in May addressing some of those issues, and on Friday, Corp Fin issued five more CDIs covering amended Rule 10b5-1 and the insider trading plan disclosure requirements contained in Item 408(a) of Reg S-K. [read post]
13 Apr 2010, 7:37 am
In re Charles Schwab Corp. [read post]
12 Dec 2016, 7:52 am
The Curse of the Nation-State: Refugees, Migration, and Security in International Law by Jill I. [read post]
10 Jun 2024, 12:15 am
Corp. [read post]
18 Jan 2017, 10:54 am
The suit was filed on allegations that the banks violated a federal securities law when selling $140.5 million in mortgage-backed securities in 2007 and... [read post]
14 Nov 2013, 3:51 am
Corp Fin Issues 11 New CDIs: Rules 506(c) & 144A Yesterday, Corp Fin updated its "Securities Act Rules Compliance and Disclosure Interpretations" to provide 11 new interpretations regarding Rule 506(c) and revised Rule 144A. [read post]
22 Aug 2016, 12:41 pm
If you have invested in InvenTrust Properties Corp. [read post]
17 Feb 2022, 12:43 pm
Background Longview Acquisition Corp. completed its IPO on May 20, 2020. [read post]
12 Feb 2012, 8:27 am
Security researchers said they found a vulnerability in the Google Inc mobile payments platform which is currently available in phones sold by Sprint Nextel Corp. [read post]
