Search for: "US Securities and Exchange Commission"
Results 301 - 320
of 14,184
Sorted by Relevance
|
Sort by Date
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
6 Jun 2003, 9:29 am
On June 6, 1934, the US Securities and Exchange Commission was established to protect the interests of investors. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
22 Dec 2008, 10:40 pm
News release: "The Securities and Exchange Commission has voted to require public companies and mutual funds to use interactive data... [read post]
28 May 2019, 8:49 am
In March 2019, Newbridge Securities Corporation (“Newbridge”) filed its Form X-17A-5, commonly called a firm’s Focus Report, with the Securities & Exchange Commission (“SEC”). [read post]
16 Apr 2010, 11:17 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed a civil suit [complaint, PDF] on Friday alleging securities fraud against Goldman, Sachs & Co. [read post]
4 Sep 2008, 5:31 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] has charged [complaint, PDF] two former brokers for Credit-Suisse [corporate website; JURIST news archive] with defrauding clients of $1 billion by selling subprime securities that they represented as being backed by government-guaranteed student loans. [read post]
14 Jul 2018, 7:11 am
In contrast, the American development of securities law is driven by the federal Securities and Exchange Commission (SEC), with state regulators taking a secondary role. [read post]
12 Sep 2021, 3:58 am
-China Economic and Security Review Commission was created by the United States Congress in October 2000 with the legislative mandate to monitor, investigate, and submit to Congress an annual report on the national security implications of the bilateral trade and economic relationship between the United States and the People’s Republic of China, and to provide recommendations, where appropriate, to Congress for legislative and administrative action. [read post]
19 May 2017, 8:48 am
The Stock Market Loss fraud investigation team currently is assisting former clients of Lee Dana Weiss, who has been barred by the Securities and Exchange Commission from serving as an investment adviser or broker. [read post]
3 Apr 2019, 10:40 am
After months of teasing, on April 3 staff of the Securities and Exchange Commission (“SEC”) issued a long-awaited Framework for “Investment Contract” Analysis of Digital Assets. [read post]
7 Dec 2009, 12:34 pm
Securities America and financial adviser Bradley Hofhines have been sued in a potential class action tied to Provident Royalties and oil-and-gas private placements that the Securities and Exchange Commission (SEC) alleged in July were fraudulent. [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
SEC Publishes Its Requests for Industry Comment Regarding Its Regulation of Exchange Traded Products
25 Jun 2015, 2:36 pm
On June 12, 2015, the Securities and Exchange Commission (“SEC”) solicited public comment on its approval and regulation of exchange traded products (“ETPs”). [read post]
12 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) and Department of Justice (DOJ) on June 29, 2023 brought insider trading charges against several defendants in four proceedings. [read post]
12 Jul 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) and Department of Justice (DOJ) on June 29, 2023 brought insider trading charges against several defendants in four proceedings. [read post]
