Search for: "International Securities Exchange"
Results 361 - 380
of 10,617
Sorted by Relevance
|
Sort by Date
17 Jun 2020, 3:09 pm
The Securities and Exchange Commission today charged international insurance company AmTrust Financial Services Inc. and its former CFO Ronald E. [read post]
2 Jul 2020, 6:09 am
The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals Inc. has agreed to pay more than $21 million to resolve charges that it violated the books and records and internal accounting…Read the Full Press ReleaseHave a securities law question? [read post]
17 Jul 2020, 9:09 am
The Securities and Exchange Commission today charged David Hu, the co-founder and chief investment officer of International Investment Group LLC (IIG), a former registered investment adviser, with fraud for his role in a $60 million Ponzi-like…Read the Full Press ReleaseHave a securities law question? [read post]
22 Jan 2021, 1:36 pm
Munter has served as Deputy Chief Accountant leading the international work…Read the Full Press ReleaseHave a securities law question? [read post]
28 Feb 2020, 1:09 pm
The Securities and Exchange Commission today announced that Ohio-based pharmaceutical company Cardinal Health, Inc. has agreed to pay more than $8 million to resolve charges that it violated the books and records and internal accounting controls…Read the Full Press ReleaseHave a securities law question? [read post]
24 Jun 2021, 2:42 pm
The U.S. and EU continued to endorse safe and secure mobility and the exchange of information on their respective measures towards the gradual resumption of non-essential international travel. [read post]
24 Jun 2021, 2:42 pm
The U.S. and EU continued to endorse safe and secure mobility and the exchange of information on their respective measures towards the gradual resumption of non-essential international travel. [read post]
7 Aug 2013, 6:08 am
Action Notice Date Claim Due Date 2013-64 In the Matter of UBS Securities LLCAdministrative Proceeding File No.: 3-15407Case filed: August 6, 2013Qualifying judgment/order: August 6, 2013 8/6/2013 11/4/2013 2013-63 … [read post]
25 Jun 2010, 8:12 am
The federal securities laws in general, and the Securities Exchange Act in particular, say nothing about the international reach of the fraud provisions. [read post]
23 Dec 2008, 4:53 pm
The Securities and Exchange Commission filed a settled enforcement action on December 12, 2008, in the U.S. [read post]
23 Dec 2008, 4:53 pm
The Securities and Exchange Commission filed a settled enforcement action on December 12, 2008, in the U.S. [read post]
19 Apr 2019, 2:09 pm
The bill proposes to amend the Internal Revenue Code to state that exchange of virtual currency (as defined) shall be treated as if such exchange were an exchange of real property; that Gross income shall not include gain (up to $600) from the sale or exchange of virtual currency for other than cash or cash equivalents. [read post]
25 Apr 2022, 5:38 am
Department of Justice (DOJ) and Securities and Exchange Commission (SEC) separately announced that Stericycle Inc. [read post]
20 Apr 2012, 9:28 pm
’s Quarterly Corporate Fraud Index, the Securities and Exchange Commission's new whistleblower bounty program may be indirectly leading to a resurgence in corporate internal reporting mechanisms. [read post]
17 Apr 2015, 6:00 am
What is the International Data Exchange Service? [read post]
10 Apr 2024, 3:10 pm
Securities and Exchange Commission (“SEC”) adopted two new rules with a 3-2 vote along party lines. [read post]
2 Apr 2011, 10:29 am
Citing its unique role as a bank for central banks, the Bank for International Settlements has asked the SEC and CFTC for an exemption from the Dodd-Frank definitions of swap and security-based swap. [read post]
4 Oct 2015, 3:52 pm
“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]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [read post]
12 Mar 2018, 1:00 pm
Around 2000, major broker-dealers began to re-internalize trading into proprietary matching platforms, a return to private networks. [read post]
