Search for: "US Securities and Exchange Commission"
Results 321 - 340
of 14,184
Sorted by Relevance
|
Sort by Date
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]
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]
12 Dec 2008, 8:21 am
The US Securities and Exchange Commission (SEC) [official website] charged [SEC press release] Madoff and his investment firm, Bernard L. [read post]
6 Apr 2010, 5:42 pm
The US Supreme Court says it will not review the decision by a federal appeals court affirming the US Securities and Exchange Commission’s decision to bar investment adviser David Disraeli from the securities industry. [read post]
5 Sep 2012, 10:20 am
An alert for municipal securities dealers concerning pay-to-play rules has been issued by a department of the Securities and Exchange Commission (SEC). [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
17 Apr 2023, 10:00 pm
Federal Trade Commission , the US Supreme Court on April 14 unanimously decided that a party may bring constitutional challenges to the US Securities and Exchange Commission’s (SEC’s or Commission’s) use of administrative law judges (ALJs) in its “in-house” administrative enforcement proceedings directly in federal district court without first litigating to conclusion the administrative proceeding. [read post]
4 Feb 2013, 5:00 am
Back in 1973 The Securities and Exchange Commission issued a release describing situations where a real estate offering could become a securities offering. [read post]
31 Oct 2019, 10:41 am
The Securities and Exchange Commission today charged XBT Corp. [read post]
1 Dec 2021, 8:10 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 82 soliciting entities, eight (8) impersonators of genuine firms, and…Read the Full Press ReleaseHave a securities law question? [read post]
25 Nov 2019, 2:20 pm
The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds (ETFs) and closed-end funds, as well as…Read the Full Press ReleaseHave a securities law question? [read post]
28 Oct 2020, 9:09 am
The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as…Read the Full Press ReleaseHave a securities law question? [read post]
16 Nov 2020, 3:00 pm
The Securities and Exchange Commission announced a new initiative focused on complex products: The Exchange-Traded Products Initiative. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
