Search for: "Securities and Exchange Commission"
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8 Aug 2012, 9:01 am
In its recently-released Report on the Municipal Securities Market, the Securities and Exchange Commission asked Congress to increase the SEC’s authority to regulate the municipal securities market, which it described as “decentralized . . . illiquid and opaque. [read post]
22 Apr 2015, 7:13 am
Short selling is defined by the United States Security and Exchange Commission as ” the sale of a stock that an investor does not own or a sale which is consummated by the delivery of a stock borrowed by, or for the account of, the investor. [read post]
23 Oct 2009, 10:29 am
Securities America, a subsidiary of Ameriprise Financial, is becoming the target of more investor claims filed with the Financial Industry Regulatory Authority (FINRA) over allegations it falsely misrepresented private placement offerings associated with Medical Capital Holdings - the same company that the Securities and Exchange Commission (SEC) has charged in a $2 billion Ponzi scheme. [read post]
9 Apr 2019, 8:17 am
Facts: This case (Securities and Exchange Commission v. [read post]
31 Mar 2008, 10:00 am
The White House announced that it would nominate the two Democrats submitted by Harry Reid, Luis Aguilar and Elisse Walter to the Securities and Exchange Commission. [read post]
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]
3 Mar 2011, 9:14 am
Today, the Securities and Exchange Commission (SEC) filed securities fraud charges against Steven K. [read post]
9 Mar 2010, 11:07 am
Securities and Exchange Commission (SEC) has designated it a "Designated offshore securities market" under Regulation S of the Securities Act of 1933. [read post]
9 Dec 2020, 6:06 am
The Securities and Exchange Commission today charged ICE Data Pricing & Reference Data LLC, a global securities pricing service and New York-based registered investment adviser, for compliance deficiencies relating to its delivery to clients of…Read the Full Press ReleaseHave a securities law question? [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]
21 Aug 2020, 1:09 pm
The Securities and Exchange Commission today proposed amendments to the national market system plan governing the Consolidated Audit Trail (the “CAT NMS Plan”) to bolster the Consolidated Audit Trail’s (“CAT”) data security. [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]
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]
1 Sep 2016, 11:37 am
On August 25, 2016, the Securities and Exchange Commission adopted amendments to rules and forms designed to improve disclosures provided by investment advisers to investors and the Securities and Exchange Commission. [read post]
1 Sep 2016, 12:47 pm
On August 31, 2016, the Securities and Exchange Commission proposed amendments that would require hyperlinks to exhibits in specified types of filings with the Securities and Exchange Commission. [read post]
