Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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14 Feb 2007, 6:23 am
SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 20003 / February 14, 2007 Accounting and Auditing Enforcement Release No. 2557 / February 14, 2007 SEC v. [read post]
3 Mar 2020, 6:35 am
Securities and Exchange Commission (SEC or Commission) in response to proposed amendments to Rule 14a-8 (the “Rule”) in Release No. 34–87458, Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a–8 (the “Release”). [read post]
28 Feb 2022, 9:00 am
Non-fungible tokens (“NFTs”) are unique digital items that have been a focus of the United States Securities and Exchange Commission (“SEC”) which is the federal government agency that enforces security regulations to protect investors. [read post]
19 Sep 2008, 10:38 am
In an effort to aggressively counter the recent market crisis, the United States Securities & Exchange Commission and United Kingdom's Financial Services Authority announced today that they have temporarily banned all short-selling in financial companies. [read post]
15 Mar 2019, 11:15 am
The United States Securities and Exchange Commission (SEC) alleged Thursday in a court filing that Volkswagen (VW) “perpetrated a massive fraud” and repeatedly lied to U.S. investors in connection with the company’s emissions scandal. [read post]
18 Oct 2021, 8:00 am
Recognizing this need, the United States Securities and Exchange Commission (“SEC”) has taken marked steps to protect the security of investor records and information that broker-dealer firms possess. [read post]
9 Jun 2019, 8:18 am
Securities and Exchange Commission v. [read post]
7 Sep 2013, 7:32 am
” [1] The net capital rule is the principal SEC rule governing regulatory capital requirements for securities broker-dealers in the United States. [read post]
2 Mar 2016, 12:00 pm
Supreme Court granted certiorari review of United States v. [read post]
13 Jun 2011, 9:00 am
Receiving or transporting any money, valuable securities or other property knowing the same to have been obtained pursuant to a criminal act. 15. [read post]
11 Oct 2022, 12:15 am
A week ago, the United States Securities and Exchange Commission charged Kim Kardashian with touting on social media a crypto asset security offered and sold by EthereumMax without disclosing the payment she received for the promotion. [read post]
20 Sep 2022, 8:00 am
Signaling the potential future of cryptocurrency regulation in the United States, Gary Gensler, the Chairman for the Securities and Exchange Commission (SEC), shared his perspective that the majority of crypto tokens are indeed securities under U.S. law while presenting at the SEC Speaks event in early September. [1] Along with the sharing his viewpoint that the majority of crypto tokens and cryptocurrency intermediaries are subject to federal… [read post]
5 Mar 2018, 8:40 pm
SEC to consider whether administrative law judges (ALJs) in the Securities and Exchange Commission (SEC) are 'Officers of the United States.'" [read post]
25 May 2011, 6:42 am
Here's a report that turns over some rocks at the Securities and Exchange Commission, exposing some ugly critters underneath. [read post]
2 Apr 2007, 5:38 am
Showing a rare flash of humor, the Securities and Exchange Commission issued a press release on executive pay disclosure quoting spokeswoman “April Fuhrst” and economist “Anita Moore-Profit. [read post]
23 Apr 2018, 1:12 pm
Securities and Exchange Commission (case page at this link) Pereira v. [read post]
4 Aug 2011, 6:30 am
Unfortunately for Cuban and his long-running battle with the United States Securities and Exchange Commission (the “SEC”), the SEC is proving to be a much tougher opponent than the Heat, and [...] [read post]
30 Jul 2014, 5:59 am
By: Mark Tarallo On July 16, 2014, the United States Securities and Exchange Commission (“SEC”) brought an action against Natural Blue Resources, Inc. [read post]
30 Jul 2021, 1:55 pm
The Securities and Exchange Commission announced the move Friday after Beijing said it would step up its supervision of Chinese companies listed ... [read post]
7 Dec 2018, 11:32 am
Securities and Exchange Commission Biestek v. [read post]
