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30 Nov 2012, 5:48 am
Securities and Exchange Commission. [read post]
18 Jul 2017, 9:00 am
Attorneys’ Manual explains, one such tool is the ability to enter into non-prosecution agreements (NPAs) in exchange for cooperation from companies and individuals. [read post]
18 Mar 2025, 2:15 am
Morrison rejected the conduct and effects tests, holding that Section 10(b) reached “only transactions in securities listed on domestic exchange, and domestic transactions in other securities. [read post]
17 Oct 2012, 7:50 am
From the SEC: New Capital and Margin Rules on Swaps Expected TodayThe Securities and Exchange Commission (SEC) is expected to make public today its proposed rules concerning capital and margin requirements for security-based swap dealers and major security-based swap participants. [read post]
15 Oct 2012, 6:09 am
The first was the registration requirement with the Securities and Exchange Commission. [read post]
6 Aug 2022, 7:00 am
The decision comes after the US Securities and the Exchange Commission (SEC) charged him, the broker-dealer, and four other Western International brokers with alleged Regulation Best Interest (Reg BI) violations related to their sale of GWG Holdings L Bonds. [read post]
17 Sep 2018, 11:27 am
The Securities Exchange Commission (“SEC”) recently filed a complaint for fraud in connection with risky securities sold by a Registered Investment Advisor. [read post]
31 Oct 2016, 6:37 am
Gallagher & Co. and MylogIQ, recently released CEO and Executive Compensation Practices: 2016 Edition, which documents trends and developments on senior management compensation at companies issuing equity securities registered with the US Securities and Exchange Commission (SEC) and, as of May 2016, included in the Russell 3000 Index. [read post]
12 Apr 2015, 9:00 pm
On March 2, 2015, the Securities and Exchange Commission (SEC) announced that it had awarded between $475,000 and $575,000 to a former corporate officer for reporting securities fraud. [read post]
1 Apr 2015, 6:00 am
In a similar vein, the Securities and Exchange Commission (SEC) has stepped up efforts to chase down high profile insider traders, and has made it its key priority in pursuing errant behavior. [read post]
4 Dec 2010, 7:07 pm
A delay in funding for the Securities & Exchange Commission whistleblower program means that investors will continue to lose millions through undetected ponzi schemes and other securities fraud.Citing "budget uncertainty" the agency said that the functions the whistleblower office would have assumed will be temporarily assigned to existing staff within the Division of Enforcement.The new Dodd-Frank financial overhaul law requires the SEC to write… [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, United States Court of Appeals for the District of Columbia Circuit, No. 21-1088 / August 16, 2022)SEC Charges Three Chicago-Area Residents with Insider Trading Around Equifax Data Breach Announcement (SEC Release)SEC Sues Three Entities and Their Founder for Unregistered Crypto Asset Securities Offerings (SEC Release)SEC Charges 18 Defendants in… [read post]
15 May 2020, 2:47 pm
By engaging in this conduct, Defendants violated various section of the Securities Act of 1933 and the Securities the Securities Exchange Act of 1934. [read post]
15 May 2020, 2:47 pm
By engaging in this conduct, Defendants violated various section of the Securities Act of 1933 and the Securities the Securities Exchange Act of 1934. [read post]
11 Jul 2013, 6:07 am
Securities and Exchange Commission. [read post]
28 May 2019, 2:43 am
On 24 May 2019, the European Securities and Markets Authority (ESMA) published a consultation paper proposing amendments to the main indices and recognised exchanges under the Capital Requirements Regulation (CRR). [read post]
2 Jun 2017, 2:20 pm
By this action, the CFTC is more closely aligning its whistleblower policies with those of the Securities and Exchange Commission, which has pursued enforcement actions against companies for using restrictive language in confidentiality agreements. [read post]
9 Jun 2022, 6:31 am
Securities and Exchange Commission. [read post]
9 Jan 2020, 6:28 am
Securities and Exchange Commission. [read post]
9 Jun 2022, 6:31 am
Securities and Exchange Commission. [read post]
