Search for: "In Re Securities and Exchange Commission"
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1 May 2015, 3:00 am
” Here’s the abstract: An emerging literature shows that shareholders benefit from the Securities and Exchange Commission’s (SEC) filing review process in terms of improved disclosures and reduced information asymmetry. [read post]
14 Apr 2009, 1:29 pm
http://www.latimes.com/business/la-fi-ponzi14-2009apr14,0,1970546.storyBy Stuart Pfeifer April 14, 2009Maximum Return Investments of El Segundo and its owner misappropriated or lost $23 million from about 150 Latino investors in California and six other states, the federal regulator said in a lawsuit.The Securities and Exchange Commission filed a lawsuit Monday against an El Segundo investment firm, accusing its owner of operating a $23-million Ponzi scheme that… [read post]
11 Apr 2013, 5:00 am
The Securities and Exchange Commission adopted new rules requiring investment advisers, broker-dealers, mutual funds, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft. [read post]
12 Mar 2018, 2:11 pm
” This statement is famously attributed to Jerome Frank, a Securities & Exchange Commission chairman and federal appellate judge during the FDR era. [read post]
6 Oct 2011, 11:58 am
The new Securities and Exchange Commission's Office of the Whistleblower opened on August 12, 2011. [read post]
22 Aug 2023, 6:30 am
Uyeda, who voted against the Amendments, expressed their disapproval of several aspects of the Amendments, including the mandatory liquidity fee framework, and suggested that the framework should have been re-proposed for additional public comment. [read post]
22 Aug 2023, 6:30 am
Uyeda, who voted against the Amendments, expressed their disapproval of several aspects of the Amendments, including the mandatory liquidity fee framework, and suggested that the framework should have been re-proposed for additional public comment. [read post]
5 Nov 2014, 7:17 am
They knew that “excessive” commissions were paid to banks in Latvia and Lithuania. [read post]
23 Jul 2010, 1:40 pm
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
17 May 2016, 7:58 am
Securities and Exchange Commission (“SEC”) and the National Labor Relations Board (“NLRB”). [read post]
17 May 2016, 7:58 am
Securities and Exchange Commission (“SEC”) and the National Labor Relations Board (“NLRB”). [read post]
18 Jul 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
11 May 2022, 9:01 pm
First, in December, the Commission re-proposed new Exchange Act rule 9j-1 to prevent fraud, manipulation, and deception in connection with security-based swap transactions. [read post]
29 Nov 2023, 7:12 am
Securities Act Rule 230.192 will implement Securities Act Section 27B and bar transactions in asset-backed securities that involve or result in material conflicts of interest. [read post]
19 Aug 2021, 9:35 am
’s - a United States financial services company that operates stock exchanges - proposed rules regarding diversity on boards of directors were approved by the Securities and Exchange Commission (“SEC”) on August 6, 2021. [read post]
8 Jan 2013, 11:08 am
§§ 78j(b), 78t(a) and 78t-1, and Securities and Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
23 Feb 2018, 6:14 am
Securities and Exchange Commission, on Thursday, February 22, 2018 Tags: Cybersecurity, Disclosure, Public firms, Public interest, Risk, Risk disclosure, Risk management, Securities regulation [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
17 Feb 2009, 11:15 am
In the wake of Bernard Madoff's alleged $50 billion Ponzi scheme, the United States Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies with orchestrating multi-billion dollar fraudulent investment schemes. [read post]
8 Jun 2010, 7:15 am
" Goldman was recently sued by the Securities and Exchange Commission for fraud in marketing and selling a collateralized debt obligation known as Abacus. [read post]
