Search for: "International Securities Exchange"
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19 Mar 2012, 9:45 am
Last week, the International Organization of Securities Commissions (IOSCO) released a consultation report intended to provide industry and regulators with guidelines against which the quality of regulation and industry practices concerning exchange traded funds could be assessed. [read post]
26 Jan 2016, 11:26 am
In a press release, the Securities and Exchange Commission (SEC) charged Luca International Group LLC and its CEO with running a $68 million Ponzi-like scheme and affinity fraud. [read post]
14 Apr 2023, 8:42 am
In January 2020, FINRA issued the firm a Cautionary Action for the following deficiencies: (1) failing to make adequate suitability determinations in connection with “like-kind exchange” transactions under Section 1031 of the Internal Revenue Code; and (2) failing to maintain adequate written supervisory procedures for reviewing customer escrow agreements in connection with likekind exchange transactions. [read post]
14 Aug 2008, 6:33 pm
International Securities Exchange, LLC NASDAQ Stock Market, LLC National Stock Exchange, Inc. [read post]
27 Feb 2011, 6:35 pm
The Securities and Exchange Commission has also filed a civil complaint related to this case. [read post]
23 Feb 2008, 9:21 am
If you listened carefully, you could almost hear the collective sigh of relief from 5,000 smaller public companies when Securities and Exchange Commission (SEC) Chairman Christopher Cox proposed yet another extension to the Sarbanes-Oxley (SOX) deadline for an external audit of Internal Control over Financial Reporting (ICFR).The SEC previously appeared to be steadfast in upholding the set deadline for non-accelerated filers, or public companies with less than $75 million… [read post]
2 Dec 2006, 2:19 pm
With EAS for Exchange, corporations will be able to implement effective retention and disposition processes to ensure compliance with internal policies and industry regulations. [read post]
27 Oct 2011, 11:34 am
At a forum hosted by the American Bar Association, senior SEC officials discussed a number of issues around international securities regulation, including regulatory arbitrage, the Dodd-Frank conflict minerals provisions, the Supreme Court’s Morrison ruling and the SEC study on the extraterritorial reach of the federal securities laws mandated by Dodd-Frank. [read post]
15 Sep 2011, 9:57 am
Now he is facing insider trading charges from the Securities and Exchange Commission. [read post]
9 Jan 2018, 10:52 am
These are all against securities laws and internal firm rules. [read post]
2 Aug 2011, 2:49 am
On May 23, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) proposed joint rules in Federal Register 33-9204 (click here for a copy) that define the terms swap, security-based swap, security-based swap agreement, and mixed swaps. [read post]
1 Jul 2010, 11:58 am
The US Securities and Exchange Commission is suing William G. [read post]
23 Jan 2007, 7:48 am
Securities and Exchange Commission said on Monday.The SEC is currently requiring companies with a public market capitalization of less then $75 million to conduct a management assessment of their internal controls. [read post]
12 Apr 2017, 1:37 pm
Charter and of the international legal order since 1945 is a prohibition on use of force except in self-defense or as authorized by the Security Council. [read post]
8 Sep 2022, 5:01 am
And even if they succeed, many security flaws will be beyond an exchange’s ability to mitigate. [read post]
6 Jun 2019, 7:44 am
On 4 June 2019, the European Securities and Markets Authority (ESMA) published a speech from its Chair, Steven Maijoor, on international cooperation in financial regulation and supervision. [read post]
19 Apr 2007, 5:00 am
Sodano was derelict in his duties as an officer of AMEX for failing to enforce AMEX rules and securities law. [read post]
21 Oct 2013, 12:21 pm
Tweet Tags: Dodd-Frank, Securities and Exchange Commission, WO writingsNew guest column: “SEC Unveils Expensive Rule on CEO Pay Ratio” is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
25 Oct 2022, 5:56 pm
Coin Telegraph: “…No matter how much attention the United States Securities and Exchange Commission (SEC) or Commodity Futures Trading Commission gets in the crypto industry, for individual traders and investors, it often comes down to the Internal Revenue Service’s (IRS) position — and how much tax one owes. [read post]
28 Jun 2010, 11:39 am
National Australia Bank Ltd. et al. that Section 10(b) of the Securities Exchange Act does not provide a cause of action to foreign plaintiffs suing foreign and American defendants for misconduct in connection with securities traded on foreign exchanges. [read post]
