Search for: "Securities And Exchange Commission"
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9 Dec 2009, 11:45 am
The Securities and Exchange Commission has charged Brookstreet Securities, its President and CEO Stanley Brooks with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals. [read post]
28 Oct 2011, 3:14 pm
The Securities and Exchange Commission has launched a general review of exchange trade funds, including the adequacy of disclosures made to investors. [read post]
23 Oct 2020, 8:11 am
The Securities and Exchange Commission’s proposal would permit hedge funds with less than $3.5 billion in assets to stop reporting their holdings in quarterly reports to the Securities and Exchange Commission. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
23 May 2016, 8:37 am
Securities and Exchange Commission has filed new charges against him in federal court for securities fraud. [read post]
24 Apr 2016, 5:22 pm
Securities and Exchange Commission against Ramapo, its currentThe post Municipal Officer and Former Town Attorney Indicted For Securities Fraud appeared first on Legal Reader. [read post]
23 Jul 2010, 12:20 pm
The Ontario Securities Commission (OSC) today published a revised version of OSC Staff Notice 21-703 - Transparency of the Operations of Stock Exchanges and Alternative Trading Systems. [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
16 Mar 2009, 4:03 pm
News release: "The Securities and Exchange Commission took further action to help increase the transparency of credit default swaps by... [read post]
1 Dec 2011, 7:52 am
The guidance is intended to assist registrants in preparing disclosure under both the Securities Act of 1933 (the 1933 Act) and the Securities Exchange Act of 1934 (the 1934 Act). [read post]
13 Nov 2010, 6:16 am
Securities and Exchange Commission. [read post]
9 May 2011, 8:00 am
The first presentation of the 43rd Annual Rocky Mountain Securities Conference was a presentation by Commissioner Troy Paredes of the Securities and Exchange Commission. [read post]
12 Aug 2021, 8:39 am
The SEC order finds that Poloniex did not register as a national securities exchange nor did it operate under a valid exemption from registration at any time, and its failure to do so was a violation of Section 5 of the Securities Exchange Act of 1934. [read post]
8 Sep 2021, 6:54 am
Securities and Exchange Commission. [read post]
21 Oct 2011, 9:08 am
The Securities and Exchange Commission is expanding its investigation into the use of derivatives by mutual funds and exchange trade funds, and will also focus on problems related to disclosures, valuations, transparency, market volatility, liquidity and other systemic risks associated with exchange traded funds, particularly "leveraged" funds that amplify investor bets often through the use of derivatives. [read post]
