Search for: "International Securities Exchange"
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27 Dec 2019, 6:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4985/securities-industry-commentator/Swiss Asset Management Firm And Its Owner Charged In Manhattan Federal Court For Orchestrating Stock Manipulation Scheme / Danish National Who Participated in the Scheme Is Also Charged (DOJ Release)SEC Charges Six Individuals in International Microcap Fraud Schemes (SEC Release)Alleged Dark… [read post]
30 Sep 2006, 12:43 pm
This nonrecognition arises under Section 354 and applies only if the reorganization involves an exchange solely for stocks and securities of a corporation that is also a party to the exchange. [read post]
12 Dec 2007, 7:40 am
Securities and Exchange Commission. [read post]
4 Oct 2015, 6:34 am
On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive release to clarify its reading of the whistleblower rules it promulgated in 2011 under Section 21F of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
9 Feb 2023, 1:53 pm
Under the Biden Administration, the Securities and Exchange Commission has aggressively enforced its Whistleblower Program. [read post]
19 Mar 2013, 5:00 am
Although most companies listed on the NASDAQ already have an internal audit function, the proposed rule would bring the NASDAQ into alignment with the New York Stock Exchange, which already requires its listed companies to have an internal audit function. [read post]
24 Apr 2020, 11:23 am
The Securities and Exchange Commission today announced the formation of an internal, cross-divisional COVID-19 Market Monitoring Group. [read post]
18 May 2020, 2:24 pm
The Securities and Exchange Commission today announced settled charges against three former KPMG LLP audit partners for improperly sharing answers to internal training exams and for subsequent wrongdoing during an investigation of exam sharing misconduct…Read the Full Press ReleaseHave a securities law question? [read post]
24 Sep 2020, 2:09 pm
The Securities and Exchange Commission today announced that Chicago-area engine manufacturing company Power Solutions International Inc., has agreed to settle accounting fraud charges related to the company's overstatement of revenues by almost $25…Read the Full Press ReleaseHave a securities law question? [read post]
10 Feb 2012, 8:27 am
Securities and Exchange Commission (SEC) Summer Honors Law Program gives law students the opportunity to become familiar with the securities market. [read post]
28 Aug 2020, 9:09 am
The Securities and Exchange Commission today announced that Herbalife Nutrition Ltd. has agreed to pay more than $67 million to settle charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt…Read the Full Press ReleaseHave a securities law question? [read post]
3 Dec 2019, 1:06 pm
The Securities and Exchange Commission today announced the appointment of Paul Munter as a Deputy Chief Accountant (International) in the agency's Office of the Chief Accountant. [read post]
15 Nov 2004, 2:42 am
[JURIST] The US Securities and Exchange Commission is likely to file civil fraud charges this week against former Hollinger International chairman Conrad Black and former Hollinger president David Radler, according to a Monday Wall Street Journal report [subscription required]. [read post]
6 Mar 2007, 9:26 am
Allen, an analyst at Banc of America Securities, singles out the International Securities Exchange for special mention in a research [...] [read post]
26 Mar 2008, 8:14 am
[corporate website], the Canadian holding company with an interest in former newspaper publisher Hollinger International [corporate website], has agreed to pay the US Securities and Exchange Commission (SEC) [official website] $21.3 million to settle claims [press release] that from 1999 to 2003 it violated securities law by failing to disclose to investors payments and [read post]
4 Jun 2020, 1:09 pm
The Securities and Exchange Commission today announced settled charges against Bermuda-based insurance company Argo Group International Holdings, Ltd. for failing to fully disclose perquisites and benefits provided to its former chief executive officer…Read the Full Press ReleaseHave a securities law question? [read post]
4 Oct 2021, 2:10 pm
The Securities and Exchange Commission today announced that it will highlight investor education and protection resources during World Investor Week 2021 (WIW). [read post]
29 Sep 2021, 2:40 pm
The Securities and Exchange Commission today charged Jose Luis Casero Sanchez, a Spanish national and former Senior Compliance Analyst who worked in the Warsaw, Poland office of an international investment bank, with insider trading in advance of at…Read the Full Press ReleaseHave a securities law question? [read post]
