Search for: "Securities and Exchange Commission"
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13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jul 2009, 12:04 pm
The subject matter is: The Commission will consider a recommendation regarding amendments to Rule 15c2-12 ("Rule") under the Securities Exchange Act of 1934 ("Act"), concerning the responsibilities of a broker, dealer, or... [read post]
23 Feb 2007, 5:06 am
What is the primary role of the Commission? [read post]
25 Jun 2024, 4:30 pm
The Commodity Futures Trading Commission (“CFTC”) has now joined the Securities and Exchange Commission (“SEC”) in taking a stand against broad non-disclosure provisions in employment agreements. [read post]
25 Jun 2024, 4:30 pm
The Commodity Futures Trading Commission (“CFTC”) has now joined the Securities and Exchange Commission (“SEC”) in taking a stand against broad non-disclosure provisions in employment agreements. [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
20 Sep 2015, 6:40 am
In the first half of 2015, the Securities and Exchange Commission (the “SEC”) finalized or proposed a number of rules relating to security-based swaps (“SBSs”). [read post]
20 Nov 2024, 6:30 am
They highlighted important decisions in Delaware courts, precedent-setting cases in the US Supreme Court and appellate courts, and recent developments at the Securities and Exchange Commission (SEC), as well as trends in derivative action settlements. [read post]
20 Nov 2024, 6:30 am
They highlighted important decisions in Delaware courts, precedent-setting cases in the US Supreme Court and appellate courts, and recent developments at the Securities and Exchange Commission (SEC), as well as trends in derivative action settlements. [read post]
17 Jun 2023, 5:40 am
The Securities and Exchange Commission today secured emergency relief in which the all the defendants in its litigation against Binance Holdings Limited, BAM Management US Holdings Inc., BAM Trading Services Inc., and Changpeng Zhao agreed to repatriate…Read the Full Press Release Have a securities law question? [read post]
21 Jan 2010, 8:12 pm
Here is the abstract: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to climate change-related risks. [read post]
8 Feb 2008, 5:51 am
Securities and Exchange Commission (the “SEC”) may bring a complaint against the company as part of an investigation into whether bids were rigged on investment contracts with local governments. [read post]
12 Oct 2012, 5:58 pm
Supreme Court will review the Securities and Exchange Commission's (SEC's) five-year statute of limitations for civil actions to recover penalties. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
21 Nov 2010, 8:04 am
Fact Sheet: "The Securities and Exchange Commission today voted unanimously to propose new rules entailing how security-based swap transactions should... [read post]
8 Jun 2018, 12:01 pm
One such action was initiated by the Securities & Exchange Commission in March 2018. [read post]
6 Sep 2011, 6:30 am
Does the value of the ETF equal that of its underlying securities? [read post]
