Search for: "United States Securities and Exchange Commission"
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22 Apr 2015, 8:19 am
Proposals before the United States Congress could, if passed, offer targeted liability protection to companies that participate in approved exchanges. [read post]
12 Apr 2011, 5:00 pm
Ratifications exchanged at Ottawa on March 22, 1976. [read post]
WHAT CONSTITUTES “SUBSTANTIAL EVIDENCE” TO SUPPORT AN SEC FINDING OF A FALSE STATEMENT IN A FORM U-4
31 Aug 2009, 10:49 am
Apr. 6, 2009), the United States Third Circuit Court of Appeals considered what constitutes substantial evidence to support a finding by the Securities and Exchange Commission. [read post]
12 Dec 2017, 3:26 pm
Paul Wescoe Smith, formerly associated with Bolton Global Capital, was the subject of a civil action and a criminal indictment filed by the United States Securities and Exchange Commission and the Department of Justice, through the United States Attorney for the Eastern District of Pennsylvania, on December 7, 2017. [read post]
12 Mar 2021, 7:59 am
First and foremost, the United States should account for the fact that the wound from the Microsoft Exchange hacks is still bleeding. [read post]
6 Jul 2010, 11:39 am
First, the newly established FCPA unit at the Securities and Exchange Commission is investigating companies in the pharmaceutical and energy industries that do business in nations designated as state sponsors of terrorism. [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… [read post]
2 Jan 2018, 3:13 am
Former Transition Management Executive Agrees to Securities Industry Bar and is Ordered to Pay Over $975,000 to Settle Fraud Charges (SEC Litigation Release No. 24023) https://www.sec.gov/litigation/litreleases/2018/lr24023.htm In Securities and Exchange Commission v. [read post]
4 Dec 2017, 3:41 am
Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors (SEC Litigation Release No. 24003) https://www.sec.gov/litigation/litreleases/2017/lr24003.htmPursuant to Securities and Exchange Commission v. [read post]
8 Jan 2018, 3:12 am
(Complaint, United States District Court for the Southern District of Florida, 17-CV-62345) the SEC charged Joseph A. [read post]
5 Jan 2018, 5:59 am
SEC Charges California-Based Attorney with Securities Registration Violations (SEC Litigation Release No. 24024) https://www.sec.gov/litigation/litreleases/2018/lr24024.htm In Securities and Exchange Commission v. [read post]
1 Sep 2016, 6:21 am
SEC, a significant decision that holds that the Securities and Exchange Commission’s (“SEC” or “Commission”) use of administrative law judges (“ALJs”) is constitutional. [read post]
10 Sep 2018, 10:56 am
As a result, the Securities and Exchange Commission warns individuals to be mindful of certain risks before investing in marijuana-related companies. [read post]
3 Aug 2022, 12:16 pm
(Securities and Exchange Commission). [read post]
15 Sep 2022, 6:30 am
On September 14, 2022, Western International Securities, Inc. filed its Answer to the Securities and Exchange Commission’s Complaint denying that the firm violated the standards under Regulation Best Interest (“Reg BI”) in approving, recommending, and supervising the sale of speculative, high-risk, and illiquid L Bonds issued by GWG Holdings, Inc. [read post]
18 Oct 2017, 11:38 am
On October 12, 2017, the United States Securities and Exchange Commission’s Investor Advisory Committee met to discuss Blockchain technology and its impact on the securities industry. [read post]
17 Apr 2023, 5:57 am
Additionally, the Court ruled that the Executive Order was not necessary to protect the United States’ essential security interests, noting that the justifications set out in the Executive Order itself were primarily financial rather than security considerations. [read post]
16 Aug 2010, 3:45 am
Current gyrations in U.S. securities markets have focused attention on numerous regulatory issues, including the power of the United States Securities and Exchange Commission (“Commission”) to intervene in U.S. securities markets in times of extreme market stress. [read post]
10 Jun 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
13 Apr 2011, 9:00 am
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes were signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; It was Ratified by the President of the United States of America on September 10, 1976; Ratifications were exchanged at Washington on October 21, 1976; It was Proclaimed by the President of the… [read post]
