Search for: "Securities and Exchange Commission"
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8 Jul 2011, 11:01 am
SIFMA urged the Commission to craft a safe harbor under Rule 9j-1 analogous to Exchange Act Rule 10b5-1 for counterparties that obtain inside information after agreeing to the terms of a security-based swap. [read post]
9 Apr 2019, 8:17 am
Facts: This case (Securities and Exchange Commission v. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
19 Oct 2012, 6:28 am
Securities lawyers at the Securities and Exchange Commission have filed a complaint against alleging securities fraud against Geoffrey H. [read post]
19 Oct 2012, 6:28 am
Securities lawyers at the Securities and Exchange Commission have filed a complaint against alleging securities fraud against Geoffrey H. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
17 Dec 2010, 5:53 am
Sawyers (andquot;Sawyersandquot;), former employees of Wachovia Securities, L.L.C., now known as Wells Fargo Advisors, were charged on December 15, 2010 by theandnbsp;United States Securities and Exchange Commission with securities fraud. [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]
4 Mar 2010, 5:17 pm
On March 4, 2010, the Securities and Exchange Commission filed a complaint against a purported psychic who fraudulently raised $6 million after telling investors he could predict stock market highs and lows. [read post]
19 Sep 2005, 11:37 am
[JURIST] Leading Monday's corporations and securities law news, the US Government Accountability Office (GAO) [official website] has released a report urging the Securities and Exchange Commission [official website] (SEC) to improve its oversight of the mutual funds industry. [read post]
10 Aug 2005, 4:33 pm
[JURIST] Leading Wednesday's corporation and securities law news, the US Court of Appeals for the District of Columbia Circuit has suspended controversial corporate governance rules for mutual funds promulgated by the Securities and Exchange Commission. [read post]
16 Sep 2005, 2:42 pm
[JURIST] Leading Friday's corporations and securities law news, the US Securities and Exchange Commission [official website] has formally set out its plans to alleviate corporate financial strain caused by Hurricane Katrina [JURIST news archive]. [read post]
27 Feb 2003, 9:48 pm
[JURIST] Securities and Exchange Commission v. [read post]
28 Jul 2005, 6:28 pm
Christopher Cox [Wikipedia profile]'s nomination to head the Securities and Exchange Commission (SEC) [official website]. [read post]
2 Nov 2023, 7:32 am
The Securities and Exchange Commission today adopted new Regulation SE under the Securities Exchange Act of 1934 to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). [read post]
18 Nov 2021, 1:35 pm
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as…Read the Full Press ReleaseHave a securities law question? [read post]
