Search for: "Securities and Exchange Commission"
Results 361 - 380
of 21,980
Sorted by Relevance
|
Sort by Date
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
27 Jan 2015, 6:04 am
Securities and Exchange Commission. [read post]
19 Nov 2021, 5:09 am
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and… [read post]
15 Feb 2011, 2:08 pm
The Securities and Exchange Commission today charged a 77-year old Amish man in Ohio with targeting fellow Amish investors in a fraudulent offering that raised more than $33 million. [read post]
23 Jul 2014, 5:32 pm
Check out the Securities and Exchange Commission Historical Society, a virtual museum with lots of fascinating content: a timeline, original documents, oral histories, and more. [read post]
22 Jun 2020, 9:42 am
The US Supreme Court ruled 8-1 Monday that the Securities and Exchange Commission may seek disgorgement awards in securities fraud cases. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Oct 2023, 8:22 am
The Securities and Exchange Commission today proposed a new rule that would prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency or riskless principal (“agency-related”) orders…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2023, 1:45 pm
The Securities and Exchange Commission today announced that crypto asset trading platform Bittrex Inc. and its co-founder and former CEO, William Shihara, agreed to settle charges that they operated an unregistered national securities exchange, broker,…Read the Full Press Release Have a securities law question? [read post]
29 Mar 2023, 8:00 am
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange, broker, and clearing agency. [read post]
17 Apr 2023, 7:15 am
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
11 Mar 2022, 12:53 pm
Securities and Exchange Commission (SEC) filed civil charges against former Garden State Securities financial advisor Joseph Orazio DeGregorio. [read post]
15 Mar 2023, 9:25 am
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…Read the Full Press ReleaseHave a securities law question? [read post]
17 Jan 2025, 6:32 am
We also believe that in the wake of this tragic event it is time for the Securities and Exchange Commission (SEC) to revisit the treatment of personal security as a perquisite requiring disclosure in a company’s SEC reports. [read post]
17 Jan 2025, 6:32 am
We also believe that in the wake of this tragic event it is time for the Securities and Exchange Commission (SEC) to revisit the treatment of personal security as a perquisite requiring disclosure in a company’s SEC reports. [read post]
30 Jun 2008, 8:11 pm
Ninth Circuit reinstates insider trading claims brought by the Securities and Exchange Commission against a former Fidelity National Financial director alleged to have traded on confidential information about the impending acquisition of LendingTree, Inc.: You can access today's ruling of the U.S. [read post]
19 Aug 2016, 2:00 pm
The Securities and Exchange Commission has dismissed fraud charges against a Pikesville man three years after an administrative law judge ruled his trading strategy was illegal. [read post]
30 Aug 2022, 10:07 am
We’re sure there’s no ideological axe to grind with the Securities and Exchange Commission here. [read post]
