Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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9 Jan 2017, 4:00 am
United States Securities and Exchange Commission, set aside an SEC decision finding the petitioner liable for violating various securities law on the grounds that the SEC’s administrative law judge (ALJ) who conducted the proceeding was unconstitutionally appointed. [read post]
12 Apr 2011, 1:30 pm
Burma (Myanmar) International Extradition Treaty with the United States December 22, 1931, Date-Signed November 1, 1941, Date-In-Force STATUS: Treaty and exchanges of notes were signed at London on December 22, 1931. [read post]
19 Jun 2017, 12:37 pm
These reports are required under the United States Bank Secrecy Act (BSA) of 1970. [read post]
12 Jul 2012, 11:03 am
Securities and Exchange Commission through disguised transactions and insider trading that involved a foreign company. [read post]
27 Mar 2013, 12:00 pm
Securities and Exchange Commission. [read post]
10 Aug 2011, 7:33 am
MetLife said asbestos-related claims rose 11 percent during the first half of 2011, compared to the same period in 2010, in a recent filing with the Securities and Exchange Commission. [read post]
22 Apr 2018, 9:00 am
Securities and Exchange Commission, Pereira v. [read post]
20 May 2008, 7:32 am
  Bear Stearns recently disclosed that the events leading up to the demise of the Bear Stearns High Grade Structured Credit Strategies Fund -- and the management of the fund by those managers -- are the subject of a number of criminal and civil regulatory investigations by the Office of the United States Attorney for the Eastern District of New York, as well as the Securities and Exchange Commission. [read post]
10 May 2019, 7:05 am
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps… [read post]
15 Feb 2022, 9:48 am
Securities and Exchange Commission). [read post]
29 May 2012, 11:46 am
Typically, the Securities and Exchange Commission decides on a case-by-case basis whether an offer and sale is made inside or outside of the United States. [read post]
16 Mar 2020, 5:55 am
Recent statements by the Chairs of the Securities and Exchange Commission (“SEC”) and the European Securities and Markets Authority (“ESMA”) reflect the starkly different views by securities regulators in the United States and Europe on the current role of market regulators in promoting such ESG disclosure. [read post]
27 Mar 2024, 1:28 pm
Securities and Exchange Commission is actively probing technology and telecom companies on how they responded to the SolarWinds cyber attack in 2020, according to Bloomberg. [read post]
24 May 2012, 1:57 pm
The notes were sold through Community Banker Security.On August 10, 2011, the Securities and Exchange Commission (“Commission”) filed suit in the United States District Court for the Southern District of Texas against the two firms for their roles in the fraudulent note offering. [read post]
14 Apr 2022, 8:45 pm
On April 14, 2022, GPB Automotive Portfolio, LP filed its Form 10-K Annual Report with the United States Securities and Exchange Commission. [read post]
24 Aug 2017, 2:56 pm
July 2017 EDGAR Filer Manual (Volume II) Notice – “Use this EDGAR® Filer Manual when making electronic filings with the United States Securities and Exchange Commission (SEC or “Commission”). [read post]
9 Feb 2021, 7:09 am
Securities and Exchange Commission (SEC). [read post]
15 Jul 2010, 11:36 am
What was, essentially, a blow to EB-5 project marketing efforts -- in the United States and overseas -- was issued by the Securities and Exchange Commission (SEC) in the form of denial of a request for a "no-action" letter.Brumberg Mackey & Wall, PLC, (BMW) sought to assist a client in raising money for its business interests, and asked whether it could take a percentage of funds raised without registering with the SEC as a broker or… [read post]
10 Sep 2020, 11:24 am
On September 3, 2020, the Unites States Securities and Exchange Commission (SEC) commenced a civil action against Illinois resident Geoffrey Thompson. [read post]
26 Feb 2007, 9:48 am
February 26, 2007) On February 26, 2007, the Securities and Exchange Commission filed civil injunctive actions against Ronald W. [read post]
