Search for: "Securities and Exchange Commission"
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21 Nov 2010, 8:04 am
Fact Sheet: "The Securities and Exchange Commission today voted unanimously to propose new rules entailing how security-based swap transactions should... [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
12 Oct 2012, 5:58 pm
Supreme Court will review the Securities and Exchange Commission's (SEC's) five-year statute of limitations for civil actions to recover penalties. [read post]
31 Aug 2014, 12:34 pm
The press release in part states the following: The Securities and Exchange Commission today announced that the national securities exchanges and the Financial... [read post]
6 Sep 2011, 6:30 am
Does the value of the ETF equal that of its underlying securities? [read post]
24 Oct 2014, 10:17 am
Chief ALJ Brenda Murray explained in a footnote that the exchanges are required to make available “core” data, which includes information such as best price offered and bid for each security, whereas non-core depth-of-book data is not required to be made available. [read post]
16 Aug 2012, 6:40 am
The Order is based on the entry of a permanent injunction against Rizvi in the civil action entitled Securities and Exchange Commission v. [read post]
15 May 2018, 9:12 am
The post Fifth Third Securities Censured & Fined for VA Exchange Violations appeared first on White Securities Law. [read post]
9 May 2018, 9:12 am
The post Fifth Third Securities Censured & Fined for VA Exchange Violations appeared first on White Securities Law. [read post]
6 Apr 2022, 8:00 am
The Securities and Exchange Commission today proposed new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
2 Aug 2011, 2:49 am
On May 23, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) proposed joint rules in Federal Register 33-9204 (click here for a copy) that define the terms swap, security-based swap, security-based swap agreement, and mixed swaps. [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
31 Jan 2024, 8:28 am
The Security and Exchange Commission (SEC) announced that J.P. [read post]
21 Jan 2016, 12:39 pm
On January 15, the Securities and Exchange Commission reopened the comment period for proposed amendments to rule 13n-4 through a release entitled “Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement[.] [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
19 Oct 2018, 6:47 am
Securities & Exchange Commission Employees and Another Individual" (DOJ Release) https://www.justice.gov/usao-edca/pr/tracy-man-convicted-making-harassing-phone-calls-us-securities-exchange-commission. [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
8 Jun 2022, 6:07 am
RiverSource Distributors Accused of Targeting Retail Ameriprise Financial Customers With VA Sales The US Securities and Exchange Commission (SEC) is ordering Ameriprise’s subsidiary brokerage firm, RiverSource Distributors, to pay a $5M fine for alleged violations involving variable annuities (VAs). [read post]
31 Jul 2012, 3:33 pm
The Securities and Exchange Commission today issued a comprehensive report that includes recommendations to help improve the $3.7 trillion municipal securities market and enhance the disclosures provided to investors. [read post]
