Search for: "US Securities and Exchange Commission"
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10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Nov 2017, 10:51 pm
Recently, the Securities and Exchange Commission (SEC) requested documents form a group of companies known as Woodbridge that has previously been accused of selling unregistered securities by state securities regulators. [read post]
15 Mar 2019, 7:29 am
According to the US Securities and Exchange Commission (SEC), Wedbush Securities has settled allegations accusing the brokerage firm of failing to supervise one of its former registered representatives, Timary Delorme, who is accused of engaging in a pump-and-dump fraud that harmed retail investors. [read post]
20 Jun 2007, 4:46 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] Wednesday moved to ease accounting procedures [meeting agenda; recorded video, (00:41:15) WMV] required for foreign companies trading on US exchanges. [read post]
5 Jan 2009, 6:40 am
[JURIST] The US House of Representatives Financial Services Committee [official website] on Monday began hearings [materials] in an investigation into how the Securities and Exchange Commission (SEC) [official website] failed for years to detect the fraud scheme allegedly perpetrated by Bernard Madoff [JURIST news archive]. [read post]
9 Nov 2017, 2:31 am
Securities and Exchange Commission v. [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
20 Jan 2023, 6:46 am
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
15 Mar 2007, 10:46 am
Related Web Resources: SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme, SEC.gov, March 7, 2007 Securities and Exchange Commission v. [read post]
14 May 2007, 5:15 am
Without the use of listing standards, the Commission tried to increase accountability through the use of enforcement proceedings. [read post]
28 Jul 2017, 11:36 am
The SEC determined that the tokens issued by the DAO are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), and advised those who would use a distributed ledger or blockchain-enabled means for capital raising to take appropriate steps to comply with the U.S. federal securities laws. [read post]
