Search for: "International Securities Exchange"
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11 Jun 2014, 6:02 am
Cox served as Chairman of the Securities and Exchange Commission from 2005 to 2009. [read post]
20 Jun 2019, 10:30 am
”Walmart consented to the SEC’s order finding that it violated the books and records and internal accounting controls provisions of the Securities Exchange Act of 1934.The SEC’s investigation was conducted by Jason Rose, Irene Gutierrez, and Laura Bennett. [read post]
2 Sep 2014, 6:24 am
National Australia Bank, the Supreme Court articulated what seemed to be a bright-line test for determining the extent to which the U.S. securities laws apply to transactions with international elements. [read post]
9 May 2012, 2:45 pm
International Securities Exchange, LLC (Fed. [read post]
9 Dec 2022, 12:50 pm
Securities and Exchange Commission (SEC) whistleblowers made a huge difference this year in fighting against fraudulent schemes. [read post]
8 May 2012, 8:31 am
Commodity Futures Trading Commission and Securities and Exchange Commission. [read post]
26 Apr 2022, 1:57 pm
Investor Alert: International Assets Advisory Customers may have recovery options The White Law Group is investigating potential securities claims involving International Assets Advisory and the liability it may have for recommending GWG L Bonds to investors. [read post]
17 Mar 2008, 7:00 am
Here Come the Exchanges The most recent trend, however, is for the world's leading commodities and securities exchanges to carve out a piece of the carbon-trading pie for themselves. [read post]
13 Jun 2022, 12:23 pm
He was reportedly affiliated with the following FINRA registered firms, among others during his career in the securities industry: 05/08/2020 – 03/04/2021, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC, 04/05/2013 – 04/02/2020, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
29 Jul 2019, 6:08 am
Morrison extinguished access to U.S. courts for “F-cubed” cases (foreign investors, suing a foreign issuer, trading on foreign exchanges). [read post]
22 Mar 2014, 6:00 am
Securities and Exchange Commission. [read post]
22 Mar 2021, 9:00 am
Digital currency security and privacy laws are changing with time. [read post]
21 Sep 2009, 7:29 pm
Last week, the Securities and Exchange Commission Enforcement Division took the unusual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
8 Apr 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Friday, April 1, 2016 Tags: Accounting, Accounting standards, Audits, Financial reporting, Internal auditors, PCAOB, SEC, SEC enforcement,Securities Regulation Rule 144: Resale of REIT Shares in Exchange for OP Units Posted by Daniel P. [read post]
8 Apr 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Friday, April 1, 2016 Tags: Accounting, Accounting standards, Audits, Financial reporting, Internal auditors, PCAOB, SEC, SEC enforcement,Securities Regulation Rule 144: Resale of REIT Shares in Exchange for OP Units Posted by Daniel P. [read post]
2 Oct 2021, 4:31 am
To keep pace with the recent developments in the cyber security domain and remain a relevant source for practitioners and scholars alike, the Toolkit is updated regularly on the basis of internal research and through external submissions. [read post]
21 Jan 2022, 3:31 am
To keep pace with the recent developments in the cyber security domain and remain a relevant source for practitioners and scholars alike, the Toolkit is updated regularly on the basis of internal research and through external submissions. [read post]
31 Jul 2010, 10:52 pm
The Conference enables Five data sharing Countries to exchange information and agree a way forward to improve border security. [read post]
22 Mar 2021, 7:04 am
The Protecting Investors’ Personally Identifiable Information Act would attempt to secure market participants’ PII by imposing a framework for the SEC to request a market participant’s PII and for exchanges to request additional time to provide such PII. [read post]
12 Jun 2024, 7:04 pm
In response, several AI labs, national governments, and international bodies have launched new research and policy efforts to mitigate large-scale AI risks. [read post]
