Search for: "Securities and Exchange Commission"
Results 3481 - 3500
of 22,207
Sorted by Relevance
|
Sort by Date
17 Oct 2009, 8:53 pm
The US Securities and Exchange Commission is upholding the market timing violations against two AG Edwards and Sons Inc. supervisors and one of its stockbrokers. [read post]
21 Aug 2017, 5:00 am
File No. 3-17809 (Jan. 24, 2017), the Securities and Exchange Commission (“Commission”) found, in actions where the respondents neither admitted nor denied the findings, that Citigroup Global Markets Inc., (“CGMI”), and Morgan Stanley Smith Barney LLC (“MSSB”) violated Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
28 Jun 2024, 2:20 pm
In Securities and Exchange Commission v. [read post]
16 Apr 2013, 2:47 pm
Securities and Exchange Commission. [read post]
3 Nov 2022, 6:30 am
Securities and Exchange Commission. [read post]
20 May 2012, 7:11 am
Securities and Exchange Commission. [read post]
29 Jan 2012, 3:38 pm
Is Avoiding Tough Sanctions for Large Banks, The New York Times, February 3, 2011 SEC Seeks to Impose Tougher Penalties for Securities Fraud, Institutional Investor Securities Fraud, December 29, 2011 SEC Issues Emergency Order to Stop $26M “Green” Ponzi Scam, Institutional Investor Securities Fraud, October 13, 2011 Securities and Exchange Commission Charges Investment Adviser with Committing Securities Fraud on… [read post]
3 Feb 2012, 3:38 pm
Is Avoiding Tough Sanctions for Large Banks, The New York Times, February 3, 2011 SEC Seeks to Impose Tougher Penalties for Securities Fraud, Institutional Investor Securities Fraud, December 29, 2011 SEC Issues Emergency Order to Stop $26M “Green” Ponzi Scam, Institutional Investor Securities Fraud, October 13, 2011 Securities and Exchange Commission Charges Investment Adviser with Committing Securities Fraud on… [read post]
17 May 2022, 4:10 am
The case is Securities and Exchange Commission v. [read post]
20 Oct 2017, 6:09 am
Various efforts to reform the shareholder proposal process, SEC Rule 14a-8, ask the Securities and Exchange Commission to formally curb the ability of share owners to file proposals. [read post]
18 May 2011, 5:17 pm
The Securities and Exchange Commission (SEC) has just announced that it will hold a vote on its whistleblower regulations at its meeting scheduled for next Wednesday, May 25, 2011, at 9:30 a.m. [read post]
20 Nov 2017, 6:26 am
Securities and Exchange Commission, the founder of Paredes Strategies LLC and a Senior Advisor to CamberView Partners; Allie Rutherford is a partner and Sharo M. [read post]
1 Apr 2010, 1:57 pm
Provident has been accused of being a Ponzi scheme by the Securities and Exchange Commission. [read post]
2 May 2024, 12:52 pm
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to a whistleblower who voluntarily disclosed original information which led to a successful enforcement action. [read post]
28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
29 Nov 2021, 6:04 am
The Securities and Exchange Commission and the New York Stock Exchange first advocated for separate audit committees following the McKesson & Robbins scandal of 1938 (Birkett, 1986). [read post]
5 Dec 2020, 4:12 am
” According to Kennedy, the bill has the support of the US Securities and Exchanges Commission, who, under the bill, will be responsible for overseeing compliance and disclosure. [read post]
18 Jun 2021, 5:56 am
Securities and Exchange Commission (SEC) to adopt a universal proxy (File No. [read post]
9 Jan 2018, 6:22 am
On November 1 2017, the Securities and Exchange Commission (“SEC”) released guidance (Staff Legal Bulletin No. 14I (“SLB 14I”)) clarifying the scope and application of the ordinary business and economic relevance grounds for excluding a shareholder proposal under Rule 14a-8 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) from a company’s proxy statement. [1] On November 20, Apple… [read post]
17 Mar 2012, 4:17 pm
The Securities and Exchange Commission says that it has reached a securities settlement in its administrative proceeding against SharesPost. [read post]
