Search for: "International Securities Exchange"
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12 Nov 2013, 6:13 am
Securities and Exchange Commission are conducting an investigation of the SEC's New York office for the possibility of improper investments.According to Reuters, investigators are checking whether the employees' investments comply with SEC internal rules that prohibit trading shares of companies under investigation.The article claims that the investigation appears limited to the New York office of the securities regulator, and there is no indication of widespread… [read post]
22 Nov 2011, 7:50 pm
Henry Roche, through his company New Futures Trading International Corporation, was charged with multiple violations of federal securities laws in connection with the sale of unregistered securities. [read post]
8 Apr 2019, 9:55 am
SEC, in which the court held that negligence would violate the prohibition on material misstatements in Section 17(a) of the Securities Exchange Act. [read post]
4 Apr 2007, 9:13 pm
The Securities and Exchange Commission voted in favor of four staff recommendations to work with the Public Company Accounting Oversight Board (PCAOB) to help change Sarbanes-Oxley. [read post]
12 Sep 2013, 11:04 am
In light of the Employee Benefit Security Administration’s position in FAQ on Notice of Coverage Options, employers may want to consult with experienced legal counsel about whether to provide the Exchange Notice after all pending further guidance from the Employee Benefit Security Administration or other relevant agencies. [read post]
31 Mar 2010, 3:35 am
The Department of Justice and the Securities and Exchange Commission are investigating medical device maker Boston Scientific Corp.'s recent recall of implantable heart defibrillators, according to an internal company memorandum reviewed by The Wall Street Journal. [read post]
29 Feb 2012, 3:00 am
On the other hand are the rights of the plaintiffs who secured the judgment, who (as best we can tell) are not parties to the international arbitration. [read post]
28 Nov 2018, 12:10 pm
In the aftermath of the Securities and Exchange Commission’s (“SEC”) latest Report of Investigation (“Report”) regarding cyberattacks via “spoofed or manipulated electronic communications,” companies should prepare to adjust and update their internal controls or face possible enforcement actions for violation of federal securities law. [read post]
1 Oct 2007, 10:38 am
The story also suggested that the company may have misrepresented the security of its data in filings to the Securities and Exchange Commission. [read post]
16 Jul 2019, 6:32 am
On June 20, 2019, the Department of Justice and the Securities and Exchange Commission announced long-awaited resolutions with Walmart, Inc. for violations of the books and records and internal accounting provisions of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Apr 2014, 11:23 am
Mar. 7, 2014), the United States Court of Appeals for the Fourth Circuit affirmed the dismissal of a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
20 Mar 2007, 8:32 am
To settle administrative charges made by the Securities and Exchange Commission, Banc of America Securities LLC has agreed to paying $26 million in penalties and disgorgement. [read post]
21 May 2009, 11:53 am
AID=/20090520/REG/905209969Storied scheme led to ex-CEO Greenberg's departureBy Darla Mercado May 20, 2009, 2:22 PM EST The Securities and Exchange has announced that it will pay $843 million to investors in American International Group Inc. who were jilted in an accounting and securities fraud fiasco dating back to 2000.Checks to more than 257,000 investors will be distributed in the next few months, coming from… [read post]
26 Dec 2018, 6:33 am
The bill would add two definitions to the Securities Act and make conforming amendments to both the Securities Act and the Exchange Act to ensure that a “digital token” is not a “security. [read post]
16 May 2023, 5:58 am
(Photo by Jack Guez / AFP via Getty Images) The post Spyware Out of the Shadows: The Need for A New International Regulatory Approach appeared first on Just Security. [read post]
29 Jul 2015, 1:05 pm
Securities exemptions cover government securities, foreign government securities, international and national banking securities, common carrier and public utility securities, exchange listed securities under Section 18(b)(1) of the Securities Act of 1933, nonprofit organization securities, equipment trust certificates, and common trust fund interests. [read post]
2 Apr 2014, 6:02 am
Securities and Exchange Commission. [read post]
7 Jan 2020, 9:33 am
Firms must also take steps to ensure that their representatives follow all securities rules and regulations, as well as internal policies and procedures. [read post]
24 May 2007, 12:10 pm
Section 404 requires public companies to continually evaluate the internal [read post]
29 Nov 2007, 1:48 pm
Bresnan, the man who led the Securities and Exchange Commission's landmark accounting fraud lawsuit against WorldCom, is trading his enforcement duties for private practice. [read post]
