Search for: "International Securities Exchange"
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8 May 2009, 5:39 am
Securities and Exchange Commission was plagued by internal conflicts before the regulator drew fire for missing Bernard Madoff's $65 billion Ponzi scheme, a U.S. government watchdog said. [read post]
8 Mar 2021, 5:58 pm
While he believed some restrictions were necessary for exchanges which carried political or security risks, too many limitations were also hazardous.Jia recommended authorities delegate the approval of international conferences to think tanks and institutes. [read post]
12 Jul 2015, 7:08 pm
Fujigami and Wisteria must disgorge allegedly ill-gotten gains of more than $1.1 million and Fujigami agreed to be barred from the securities industry and from participating in any penny stock offering.The SEC's complaint charges Yang, Lei, Luca International, Luca Resources Group, LLC, and Luca Energy Fund, LLC with violating Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of… [read post]
16 Nov 2010, 12:46 am
For reasons I am sure they find good and sufficient, Chinese companies have been seeking listings on the U.S. securities exchanges. [read post]
22 Jan 2021, 4:52 pm
Munter has served as Deputy Chief Accountant leading the international work…Read the Full Press ReleaseHave a securities law question? [read post]
21 Feb 2018, 10:14 am
Supreme Court ruled today that employees who report violations of securities law to their supervisors or corporate compliance programs, but not to the Securities and Exchange Commission (SEC), are not protected from retaliation under the Dodd-Frank Act (DFA). [read post]
2 Apr 2020, 4:14 pm
The Commission recognized that the need to comply with Exchange Act regulations pertaining to transfer agents under Section 17A and Section 17(f) may present compliance issues by those affected by COVID-19 (Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder, Release No. 34-88448, March 20, 2020). [read post]
2 May 2024, 12:52 pm
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to a whistleblower who voluntarily disclosed original information which led to a successful enforcement action. [read post]
19 Feb 2009, 2:16 pm
The Securities and Exchange Commission is charging Robert Allen Stanford and three of his companies for their alleged involvement in a multibillion dollar investment fraud scheme. [read post]
11 Jan 2016, 1:33 pm
As I was reveling in exchanging emails with my professor from the law school, who was my first teacher of International Law, he told me that this semester he is going to hold a brainstorming session with his students on whether International Law is Prescriptive or merely a bundle of permissive norms. [read post]
14 Nov 2007, 10:29 am
To secure return of the girls, the father commenced a return proceeding under the Hague Convention on the Civil Aspects of International Child Abduction. [read post]
20 Jun 2019, 8:35 am
The Securities and Exchange Commission today announced charges against five foreign traders for executing illegal matched trades in the stock of Medico International, Inc. [read post]
24 Jan 2012, 10:35 pm
The Court established a bright line, transaction-based test for when Section 10(b) (“Sec. 10(b)”) of the Securities Exchange Act of 1934 (“Exchange Act”) can apply extraterritorially. [read post]
19 Apr 2010, 8:08 am
Securities and Exchange Commission filing a complaint against international investment firm Goldman Sachs ("Goldman") on April 15 in the U.S. [read post]
13 Mar 2010, 5:13 pm
Ellerman is also accused of obstructing a United States Securities and Exchange Commission investigation of Grifco by deleting information from a computer that was subject to a subpoena on Aug. 12, 2008. [read post]
25 Jun 2014, 5:59 am
Here's the abstract: International Relations has long been a core discipline within Political Science, one of vast importance for understanding social, cultural, economic and political exchanges across national boundaries. [read post]
10 Feb 2016, 11:25 am
The final rules would also except those international organizations that are excluded from the definition of U.S. person in Exchange Act rule 3a71-3(a)(4)(iii) from the requirement that non-U.S. persons include in their dealer de minimis threshold calculations transactions that they arrange, negotiate, or execute using personnel located in a U.S. branch or office. [read post]
5 Nov 2012, 12:30 am
As claimant classes are defined to omit claims on behalf of shareholders who purchased shares on non-U.S. exchanges, the shareholder classes on whose behalf the securities claims are asserted have become narrower. [read post]
18 Oct 2022, 9:00 am
Increasing Security Concerns While international collaboration sounds great on paper, it also introduces a whole host of tensions. [read post]
6 Nov 2017, 9:30 pm
Securities and Exchange Commission (SEC) issued a final rule in March mandating that all broker-dealers—firms that buy and sell securities both for their clients and on their own—settle trades within two days. [read post]
