Search for: "United States Securities and Exchange Commission"
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15 Apr 2011, 1:00 pm
To the Senate of the United States: With a view to receiving the advice and consent of the Senate to ratification, I transmit herewith the Treaty on Extradition between the United States of America and Costa Rica, signed at San Jose on December 4, 1982, together with a related exchange of notes signed on December 16, 1982. [read post]
5 Sep 2018, 4:27 pm
The United States Securities and Exchange Commission (“SEC”) has indicated that nearly all initial coin offering (“ICO”) filings they have seen are securities offerings. [read post]
5 Sep 2018, 4:27 pm
The United States Securities and Exchange Commission (“SEC”) has indicated that nearly all initial coin offering (“ICO”) filings they have seen are securities offerings. [read post]
5 Sep 2018, 4:27 pm
The United States Securities and Exchange Commission (“SEC”) has indicated that nearly all initial coin offering (“ICO”) filings they have seen are securities offerings. [read post]
17 May 2014, 6:00 am
Securities and Exchange Commission, the United States Court of Appeals for the District of Columbia Circuit partially invalidated the final rule of the Securities and Exchange Commission (“SEC”) requiring public companies to investigate and disclose the origin of certain minerals found in the war-ridden Congo region (“conflict minerals”). [1] While upholding most aspects of the rule, the Court concluded… [read post]
21 Jun 2018, 8:26 am
Securities and Exchange Commission. [read post]
15 May 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP 2Cir affirms SDNY Judgment against Elon MuskSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
15 May 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP 2Cir affirms SDNY Judgment against Elon MuskSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
21 Jun 2018, 9:33 am
Today, the United States Supreme Court sent shock waves through the securities industry as well as the United States Securities and Exchange Commission’s (“SEC”) enforcement program when it held that SEC administrative law judges (“ALJ”) are “inferior officers,” and must be chosen pursuant to the appointments clause of the United States Constitution. [read post]
8 Apr 2011, 1:00 pm
Obtaining money, valuable securities or other property by false pretenses, or by threats of injury. 19. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
5 Jan 2023, 6:17 pm
In addition to the state law claims, plaintiff alleged that the company had made false and misleading statements in its proxy soliciting materials in violation of Securities Exchange Act Section 14(a). [read post]
31 May 2021, 11:22 am
Barish is currently under investigation by the United States Securities and Exchange Commission (“SEC”) for defrauding sixteen retail customers by executing a high-cost, in-and-out pattern of trading that lost his customers over $800,000 while generating commissions and fees for him of more than $400,000. [read post]
8 Jul 2009, 7:36 am
SNSFE attorneys are investigating Provident Royalties, LLC after the Securities and Exchange Commission obtained an emergency asset freeze. [read post]
13 Jan 2017, 2:51 am
Following on that convicttion, in 2012, the United States Securities and Exchange Commission ("SEC") instituted administrative proceedings to permanently bar Bartko from associating with six classes of securities market participants, but an SEC Adminstrative Law Judge ("ALJ") only recommended the imposition of four classes of bars. [read post]
9 Apr 2014, 5:00 am
A confidential witness states that they sold approximately 16,000 units. [read post]
26 Sep 2020, 6:27 am
Of particular relevance to our work at the Commission was United States v. [read post]
18 Nov 2013, 7:00 am
The United States Securities and Exchange Commission Division of Trading and Markets granted class no-action relief from securities-exchange and broker-dealer registration requirements for foreign options markets and their members that engage in certain “familiarization activities. [read post]
