Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION" Results 321 - 340 of 10,061
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Posted by D.
3 Aug 2011, 2:36 am by JA Hodnicki
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
Antitrust & Competition Policy Blog - http://lawprofessors.typepad.com/antitrustprof_blog/
Lehman Brothers Objects to Billions in Claims
29 Mar 2010, 9:55 pm by By DEALBOOK
Securities and Exchange Commission. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
SEC Appoints Stephen Cohen as Associate Director of Enforcement Division
17 Dec 2010, 10:12 am by Jenna Greene
Securities and Exchange Commission announced today that Stephen Cohen has been appointed as an associate director of the Division of Enforcement. [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/
A Good Day for Uber Lawyers: $3B Acquisition Closes and DOJ Drops FCPA Probe
6 Jan 2020, 1:22 pm
Securities and Exchange Commission. [read post]
Legal Village - http://www.legalweek.com/type/blog-post/category/legal-village
Judge Approves $100M Settlement Between Dell, SEC
13 Oct 2010, 1:25 pm by Mike Scarcella
Securities and Exchange Commission for improper accounting and disclosure violations, telling a federal judge in Washington that the deal was in the best... [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/
Judge Rejects Tourre's Request to Have Suit Thrown Out
2 Nov 2010, 4:02 am by By DEALBOOK
Securities and Exchange Commission's lawsuit against him was rejected by a federal judge in New York, Bloomberg News reported. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
SEC Endorses Creationism
25 Sep 2009, 8:13 pm by the10b5daily@hotmail.com
Although it has not received much publicity (perhaps due to the fact that it does not appear on the agency's website), last month the Securities and Exchange Commission filed an amicus brief in the U.S. [read post]
The 10b-5 Daily - http://www.the10b-5daily.com/
Posted by D.
3 Aug 2011, 2:36 am by JA Hodnicki
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
Antitrust & Competition Policy Blog - http://lawprofessors.typepad.com/antitrustprof_blog/
VanCook v. SEC: Violating Rule 10b-5 through Inaccurate Time Stamps
16 Sep 2011, 5:00 am by Susan Beblavi
Securities & Exchange Commission, 2011 U.S. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
What Do Individual Investors Need to Know about Unregistered Securities Offerings?
7 Oct 2020, 5:50 am by zamansky
Securities and Exchange Commission (SEC) enforcement actions involving unregistered securities offerings. [read post]
Zamansky LLC Blog - http://www.zamansky.com/news-media/
Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
13 Oct 2018, 7:21 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
SEC Sues Coinbase, Alleges It Is Unregistered Broker - WSJ
7 Jun 2023, 11:44 am by Tom Smith
WASHINGTON—The Securities and Exchange Commission sued Coinbase COIN 2.81%increase; green up pointing triangle on Tuesday, a back-to-back punch by regulators trying to rein in the crypto industry.The SEC alleged that Coinbase, the largest crypto exchange in the U.S., violated rules that require it to register as an exchange and be overseen by the federal agency. [read post]
The Right Coast - https://rightcoast.typepad.com/rightcoast/
DOJ Calls on SEC, CFTC to Make Derivatives Rules More Strict
29 Dec 2010, 11:48 am by Jeff Jeffrey
The Justice Department has called on the Securities and Exchange Commission and the U.S. [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/
Proposed Rules Relating to the Reporting Threshold for Institutional Investment Managers
6 Oct 2020, 6:09 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Applying Securities Laws to Social Media Communications
5 Jan 2013, 6:28 am by Holly Gregory, Weil, Gotshal & Manges LLP,
Securities and Exchange Commission (“SEC”) issued a Wells Notice based on a social media communication. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC’s Action Against Decentralized Exchange Raises Constitutional Questions
12 Feb 2019, 12:00 am by rainey Reitman
Securities and Exchange Commission implied that those engaged in writing and publishing code might need to worry about running afoul of securities laws. [read post]
Deeplinks Blog - https://www.eff.org/deeplinks
Statement on the SEC’s Issuance of Certain Exemptive Orders Related to Rule 17g-5(c)(1)
14 Jan 2014, 6:25 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
PCAOB Board Appointment Disregards Investor Interests
6 Feb 2012, 7:09 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Requests Comment on Issues Surrounding Exchange-Traded Products
15 Jun 2015, 7:43 am by John Jascob
In addition, the exchange must agree to list the ETP securities for trading and have in place Commission-approved listing standards. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/