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8 Jul 2009, 1:49 pm
This proposition is embodied in the idea of a "private attorney general" to police violations of the securities laws, and was endorsed explicitly by the United States Supreme Court since the mid-1960s. [read post]
26 Aug 2019, 3:08 pm
On August 19, 2019, INX Limited (together with its affiliates, “INX”) filed a Form F-1 with the Securities and Exchange Commission (“SEC”) stating their intention to raise up to approximately $130 million through a registered initial public offering (“IPO”). [read post]
18 Feb 2018, 6:40 am
Somers did not report his suspicions to the Securities and Exchange Commission and did not file an administrative complaint withint 180 days after his termination. [read post]
4 Mar 2009, 5:00 pm
The Securities and Exchange Commission announced that on March 4, 2009, it filed a Complaint in the United States District Court for the Middle District of North Carolina against three former executives of Krispy Kreme Doughnuts, Inc.: Scott A. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
1 Mar 2013, 11:56 am
In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4Case number: 12-cv-5786 (United States District Court for the Southern District of New York)Case filed: July 27, 2012Qualifying Judgment/Order: November 7, 2012 12/7/2012 3/7/2013 2012-129 SEC v. [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
6 Aug 2012, 5:00 am
., the United States District Court for the District of Minnesota ruled that Section 12(g) of the Securities Exchange Act of 1934 (“Section 12(g)”) does not provide a private right of action. [read post]
25 Feb 2020, 8:53 am
Securities and Exchange Commission will take the justices through familiar ground, as they consider once again the boundaries of the broad and multifarious forms of relief available in litigation enforcing the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
13 Mar 2009, 2:07 pm
The SEC announced that on March 11, 2009, the United States District Judge for the Southern District of New York entered Final Consent Judgments in the Commission's previously filed cases against six specialist firms operating on the Chicago Stock Exchange... [read post]
16 May 2014, 11:41 am
The first panel consisted of Alex Stamos, Chief Information Security Officer at Yahoo! [read post]
19 Sep 2019, 1:32 am
Securities and Exchange Commission, Appellant, v. [read post]
24 Sep 2007, 9:03 am
The Chairman for the Securities and Exchange Commission (SEC) is making protection of senior investors one of his "highest priorities. [read post]
23 Sep 2022, 7:47 am
On September 15, 2022, the Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) announced that GOL Linhas Aéreas Inteligentes S.A. [read post]
8 Feb 2024, 9:09 am
On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. [read post]
16 Apr 2010, 2:54 pm
The United States Securities Exchange Commission (SEC) today brought a securities fraud action against Goldman Sachs and one of its vice presidents, accusing them of misstating and omitting key facts about a financial product tied to subprime mortgages it sold as the housing market was showing signs of distress. [read post]
10 Sep 2007, 5:19 am
The Securities and Exchange Commission filed charges against 26 defendants for their alleged involvement in a $428 million securities fraud scheme targeting thousands of senior citizens and other investors in the United States. [read post]
1 Sep 2008, 8:56 pm
In a letter to Florence Harmon, Acting Secretary of the United States Securities and Exchange Commission ("SEC") the Independent Insurance Agent & Brokers of America ("The Big I") firmly states the case as to why Equity Indexed annuities should not be regulated by the Feds. [read post]
15 Jun 2011, 9:00 am
Ratifications were exchanged at Stockholm on December 3, 1963. [read post]
18 May 2015, 2:18 pm
The issuance or sale of securities is subject to regulation by the United States Securities Exchange Commission and by authorities in every state, including the Securities Division of the Office of the Indiana Secretary of State. [read post]
