Search for: "U. S. Securities and Exchange Commission"
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13 Nov 2013, 5:35 am
The foundation of Rule 2010 is Section 15A(b)(6) of the Securities Exchange Act of 1934, which requires FINRA, as a registered securities association, to have and enforce rules that “promote just and equitable principles of trade. [read post]
22 Oct 2013, 10:34 am
Additional documents prepared for the Forum may be accessed here:Provisional agenda and annotations E F S R A CBackground note by the SecretariatE F S R A CConcept note prepared by the Working Group on the issue of human rights and transnational corporations and other business enterprisesE F S R A CThe Concept Note Prepared by the Working Group on the issue of human rights and transnational corporations and other business enterprises (A/HRC/FBHR/2013/3 ) provides in… [read post]
1 Oct 2013, 5:53 pm
Is it significant for any of these purposes whether the rulemaking authority has been assigned to a cabinet department or to an independent regulatory commission? [read post]
21 Jul 2013, 10:00 pm
., April 16, 2013) The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]
3 Jul 2013, 8:15 am
On July 2, 2013, the United States District Court for the District of Columbia (the “Court”) vacated Securities and Exchange Commission (“SEC”) Rule 13q-1 (the “Rule”), which required certain companies to disclose payments made to foreign governments in connection with the commercial development of oil, natural gas or minerals. [read post]
26 May 2013, 7:21 am
Securities and Exchange Commission (SEC). [read post]
23 May 2013, 6:18 am
Securities and Exchange Commission (SEC) temporarily banned most short sales in nearly 1,000 financial stocks. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
27 Feb 2013, 1:25 pm
The Securities and Exchange Commission (“SEC”) had long maintained that, in civil enforcement proceedings, the time within which it could initiate actions seeking penalties did not begin to run until the fraud was discovered. [read post]
6 Feb 2013, 9:10 am
As the new year is upon us, there are some important annual compliance obligations Investment Advisers either registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Adviser”) should be aware of. [read post]
25 Jan 2013, 8:31 am
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16 Jan 2013, 6:13 am
In the U.S., Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), enacted on July 21, 2010, provides for the regulation of the swaps market and grants to the Commodity Futures Trading Commission (the “CFTC”) and the Securities and Exchange Commission (the “SEC,” and with the CFTC, each a “Commission” and together, the “Commissions”) broad… [read post]
15 Jan 2013, 5:30 am
Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty claims by the SEC and other federal agencies. [read post]
30 Nov 2012, 2:00 am
The staff at the Securities and Exchange Commission recently released the 2012 Annual Report on the Dodd-Frank Whistleblower Program. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
4 Sep 2012, 8:31 am
These settlements accounted for more than $1.6 billion in fines and penalties to the Justice Department and the Securities and Exchange Commission. [read post]
29 Aug 2012, 12:29 pm
On August 22, 2012, the United States Securities and Exchange Commission passed a new rule regarding section 1504 of the Dodd-Frank Wall Street Financial Reform Act (the “Act”) which focuses on transparency of natural resource payments. [read post]
24 Aug 2012, 10:53 am
Securities and Exchange Commission (“SEC”) made its first payout of $50,000 to a whistleblower since a program was created last year to reward people who provide regulators with evidence of securities fraud. [read post]
24 Aug 2012, 12:30 am
– Pueblo http://t.co/mknh0Izv # SC: 34,000 exposed in U. [read post]
