Search for: "Securities and Exchange Commission"
Results 3541 - 3560
of 22,207
Sorted by Relevance
|
Sort by Date
15 Dec 2022, 6:30 am
Securities and Exchange Commission. [read post]
15 Dec 2022, 6:30 am
Securities and Exchange Commission. [read post]
26 Jun 2020, 6:01 am
Securities and Exchange Commission. [read post]
27 Aug 2020, 6:13 am
Securities and Exchange Commission. [read post]
6 Mar 2025, 6:17 am
The commission finds that On January 10, 2024, a final judgment was entered by consent against Kennedy, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (‘Securities Act’) and Section 10(b) of the Exchange Act and Rules 10b-5 and 15l-1(a)(1) thereunder, as set forth in the judgment entered in the civil action entitled Securities and Exchange Commission v. [read post]
31 Jul 2007, 11:15 am
Democratic Senate Banking Committee Chairman Christopher Dodd warned this morning that he will consider legislation to resolve the question of proxy access if the Securities and Exchange Commission fails to adopt a rule on director nominations. [read post]
26 Jan 2007, 8:07 am
We urge the Securities and Exchange Commission to complete consideration and adopt a proxy access rule. [read post]
25 Apr 2013, 9:09 am
The European Commission proposed a European common regulatory framework for the institutions responsible for securities settlement, called Central Securities Depositories. [read post]
9 Dec 2010, 6:38 pm
The Securities and Exchange Commission will be taking a closer look at the actions of ex- Ferris, Baker Watts, Inc. [read post]
11 Aug 2010, 7:13 am
Although the Act focuses primarily on banking, the Act does contain a section that requires the Securities and Exchange Commission to publish rules that direct the national securities exchanges and associations to prohibit the listing of any security of an issuer that does not develop and implement an appropriate clawback policy. [read post]
9 Jun 2021, 6:06 am
On May 19, 2021, the Securities and Exchange Commission (“SEC”) approved proposed rule changes submitted by The Nasdaq Stock Market LLC (“Nasdaq”) that allow companies to list in connection with a concurrent primary offering. [read post]
17 Aug 2011, 6:46 am
In July 2009, the Securities and Exchange Commission (SEC) charged Medical Capital Holdings and Provident Royalties with fraud. [read post]
19 Jul 2016, 9:00 am
In a move that will make Securities and Exchange Commission administrative proceedings look more like civil litigation in federal court, on July 13, 2016, the SEC announced that it had adopted amendments to its rules of practice. [read post]
20 Sep 2013, 5:53 am
Securities and Exchange Commission. [read post]
3 Mar 2021, 5:49 am
Securities and Exchange Commission apply to administrative proceedings. [read post]
13 Feb 2025, 6:00 am
The SEC found this to violate Rule 21F-17(a) of the Exchange Act’s bar against impeding an individual from communicating directly with Commission staff about a possible securities violation. [read post]
26 Jul 2017, 12:06 pm
Based on the investigation, and under the facts presented, the Commission has determined that DAO Tokens are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”). [read post]
26 Jul 2017, 12:06 pm
Based on the investigation, and under the facts presented, the Commission has determined that DAO Tokens are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”). [read post]
6 Apr 2010, 11:11 am
The Securities & Exchange Commission has had a bounty program for whistleblowers in place since 1989, but has made only five payments for a total of $159,537.A report from the SEC's Inspector General says that "the current SEC bounty program is not fundamentally well-designed to be successful. [read post]
18 Feb 2010, 11:52 am
Securities and Exchange Commission (SEC) published final amendments to its rules to enhance proxy disclosure. [read post]
