Search for: "Application of Securities and Exchange Commission"
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1 May 2014, 5:14 am
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
26 Mar 2024, 10:53 am
On January 10, 2024, the Securities and Exchange Commission (SEC) approved eleven applications for the first ever Bitcoin Spot exchange-traded funds (ETFs), which have been publicly listed and subsequently trading in the secondary market since their approval. [read post]
21 Jan 2010, 8:12 pm
Here is the abstract: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to climate change-related risks. [read post]
7 Jan 2015, 5:50 am
Securities and Exchange Commission. [read post]
26 Nov 2013, 11:00 am
The Securities and Exchange Commission Division of Trading and Markets granted relief for institutional asset managers participating in a brokerage firm’s client commission arrangements. [read post]
14 Jun 2013, 6:14 am
On May 13, 2013, the Securities and Exchange Commission published proposed changes to the New York Stock Exchange Listed Company Manual and listing application materials. [read post]
2 Apr 2019, 6:08 am
Securities and Exchange Commission (“SEC”). [2] In addition, the Advisory builds upon and incorporates the CFTC’s January 2017 and September 2017 Enforcement Advisories, which promised meaningful reductions in penalties where a company or individual self-reports, fully cooperates, and takes remedial measures (see our January 2017 and September 2017 client briefings). [read post]
20 Jun 2010, 6:32 pm
To Securities and Exchange Commission Chief Accountant Wayne Carnall: In my first Open Letter, I asked the Securities and Exchange Commission Division of Corporation Finance to review Medifast's (NYSE: MED) revenue recognition policy to determine if it complies with Generally Accepted Accounting Principles (GAAP) and SEC Staff Accounting Bulletin Topic 13. [read post]
11 Nov 2016, 1:23 pm
On October 16, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings (the “Order”) against mobile phone application (“App”) Forcerank LLC (“Forcerank”) pursuant to violations of Section 8A of the Securities Act of 1933, and Section 21C of the Securities Exchange Act of 1934. [read post]
11 Nov 2016, 1:23 pm
On October 16, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings (the “Order”) against mobile phone application (“App”) Forcerank LLC (“Forcerank”) pursuant to violations of Section 8A of the Securities Act of 1933, and Section 21C of the Securities Exchange Act of 1934. [read post]
9 Feb 2010, 12:52 pm
Pepper partner Frank Razzano, a partner in Pepper’s Washington office who focuses his practice on white collar criminal defense, with a special emphasis on Securities & Exchange Commission enforcement, will moderate a panel entitled “Application of Honest Services Mail Fraud in the Private Sector” at the American Bar Association's 24th Annual National Institute on White Collar Crime. [read post]
4 Feb 2013, 5:00 am
Back in 1973 The Securities and Exchange Commission issued a release describing situations where a real estate offering could become a securities offering. [read post]
8 Jun 2011, 1:47 pm
The Commission took this action to preserve the application of the existing... [read post]
8 Jun 2011, 1:47 pm
The Commission took this action to preserve the application of the existing... [read post]
7 Jan 2010, 3:09 pm
Gail Henderson has posted the following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to... [read post]
14 Jan 2020, 1:50 pm
Is the platform a securities exchange? [read post]
21 Jun 2019, 12:06 pm
Securities and Exchange Commission. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
