Search for: "In Re Securities and Exchange Commission"
Results 401 - 420
of 2,830
Sort by Relevance
|
Sort by Date
7 Nov 2022, 12:15 am
The Securities and Exchange Commission new "clawback" rules were approved on a divided vote. [read post]
26 Oct 2022, 7:29 am
Read more: IRS Exchange Rates for Your Tax Return | Bright! [read post]
23 Oct 2022, 7:03 pm
Securities and Exchange Commission, 34 F.4th 446 (2022), the Fifth Circuit held that Congress unconstitutionally delegated legislative power to the SEC, another multimember agency. [read post]
21 Oct 2022, 10:05 am
According to the Securities and Exchange Commission (SEC), it was a classic “pump and dump” scheme. [read post]
21 Oct 2022, 9:16 am
The Securities and Exchange Commission (SEC) announced the creation of two new offices—an Office of Crypto Assets (OCA) and an Office of Industrial Applications and Services (OIAS)—within its Division of Corporation Finance’s Disclosure Review Program (DRP). [read post]
21 Oct 2022, 7:52 am
So why then do the Securities Exchange Commission (SEC) and other agencies keep warning consumers about Bitcoin-related frauds? [read post]
21 Oct 2022, 4:00 am
But the hiring of retired U.S. military personnel for their expertise and political clout has accelerated over the past decade as Persian Gulf monarchies have splurged on defense spending and strengthened their security partnerships with the Pentagon. [read post]
20 Oct 2022, 9:47 pm
Securities and Exchange Commission should partner with the Commodity Futures Trading Commission to create a new self-regulatory organization funded by industry participants. [read post]
20 Oct 2022, 3:15 am
After years of anticipation, the agenda includes: The Commission will consider whether to adopt rules to implement of Section 10D of the Securities Exchange Act, as added by Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
19 Oct 2022, 3:02 pm
When digital technology is used to exchange images of child sexual abuse, it’s a serious crime that warrants investigation and prosecution. [read post]
19 Oct 2022, 4:22 am
Security Council meeting today, according to a U.S. official. [read post]
18 Oct 2022, 8:56 am
“The key is to avoid an employment case, and instead keep the source employed to continue to gather evidence, as seen in Commodities [Futures Trading Commission], Securities [and Exchange Commission], and Internal Revenue Service cases,” Kohn said. [read post]
18 Oct 2022, 6:32 am
Securities and Exchange Commission. [read post]
17 Oct 2022, 5:36 pm
“You run into proper trouble when you’re promoting an issuer of a security,” he said. [read post]
13 Oct 2022, 9:00 am
Securities and Exchange Commission (SEC) about Facebook’s conduct. [read post]
5 Oct 2022, 6:30 am
Section 15 and Section 20(a) provide that any person who directly or indirectly “controls” another person found liable for a violation of the Securities Act or Exchange Act, respectively, or any regulation thereunder is jointly and severally liable, to the same extent as the controlled person, to any person to whom the controlled person is liable. [read post]
4 Oct 2022, 5:13 am
According to Regulations.gov, the Commission received over 176,000 public comments in the rule review. [read post]
3 Oct 2022, 10:47 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings to retirees and other retail investors. [read post]
3 Oct 2022, 7:52 am
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
3 Oct 2022, 7:11 am
Securities and Exchange Commission. [read post]
