Search for: "Securities and Exchange Commission"
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6 Mar 2015, 6:04 am
Securities and Exchange Commission. [read post]
14 May 2007, 5:15 am
For more on this topic, go to Corporate Governance, the Securities and Exchange Commission, and the Limits of DisclosureThese efforts arose from the Agency’s growing understanding of the connection between accurate disclosure and internal accountability. [read post]
23 Nov 2010, 7:00 am
Securities and Exchange Commission proposed new rules that would require security-based swap data repositories (SDRs) to register with, and provide swap data to, the SEC. [read post]
31 May 2024, 2:30 am
For example, this excerpt from the website’s discussion of the early days of the SEC provides a reminder that strong policy disagreements among commissioners are nothing new: The Securities Exchange Act required a bipartisan Commission. [read post]
4 Aug 2017, 9:08 am
In a 1946 Supreme Court case Securities and Exchange Commission v. [read post]
13 May 2008, 5:16 am
On Thursday, May 8, the SEC Historical Society held a reception at the Denver Regional Office to celebrate the 75th Anniversary of the Securities and Exchange Commission. [read post]
10 Jun 2010, 12:45 pm
The International Organization of Securities Commissions (IOSCO) announced today that securities regulatory authorities from South Korea, Uruguay, Iceland, the Maldives, Saudi Arabia and Syria have been invited (the latter four states pending membership approval) of the IOSCO Multilateral Memorandum of Understanding concerning Consultation, Cooperation and the Exchange of Information (MMoU). [read post]
10 Nov 2017, 10:51 pm
Recently, the Securities and Exchange Commission (SEC) requested documents form a group of companies known as Woodbridge that has previously been accused of selling unregistered securities by state securities regulators. [read post]
25 May 2011, 10:35 am
Today, the Securities and Exchange Commission (SEC) approved final rules to create a securities whistleblower program to reward individuals who provide the SEC with tips that lead to a successful enforcement action. [read post]
3 Jun 2012, 12:15 pm
For more liquid securities and certain exchange-traded products the level will be 5 percent, and for other listed securities the level will be 10 percent. [read post]
6 Nov 2017, 3:19 pm
The Securities and Exchange Commission (SEC) recently sought documents form a group of companies known as Woodbridge that has previously been accused of selling unregistered securities by state securities regulators. [read post]
29 Jun 2017, 6:05 pm
Congress created the Office of the Investor Advocate of the Securities and Exchange Commission in the Dodd-Frank Act in 2010 to, among other things, “(A) assist retail investors in resolving significant problems such investors may have with the Commission or with self-regulatory organizations (SROs); (B) identify areas in which investors would benefit from changes in the regulations of the Commission … Continue… [read post]
29 Jun 2017, 6:05 pm
Congress created the Office of the Investor Advocate of the Securities and Exchange Commission in the Dodd-Frank Act in 2010 to, among other things, “(A) assist retail investors in resolving significant problems such investors may have with the Commission or with self-regulatory organizations (SROs); (B) identify areas in which investors would benefit from changes in the regulations of the Commission … Continue… [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
1 May 2014, 5:14 am
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
12 Sep 2017, 5:20 pm
Securities and Exchange Commission 17-130 Issue: Whether administrative law judges of the Securities and Exchange Commission are officers of the United States within the meaning of the appointments clause. [read post]
25 Feb 2020, 8:53 am
Securities and Exchange Commission will take the justices through familiar ground, as they consider once again the boundaries of the broad and multifarious forms of relief available in litigation enforcing the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
9 May 2010, 5:57 am
Commodity Futures Trading Commission (CFTC), and Michel A. [read post]
23 Feb 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit in Sacramento federal court charging two Sacramento-area men with the misappropriating approximately $10 million from over 100 investors who were falsely promised that the funds were safe, liquid, high-yield investments that were secured by deeds of trust. [read post]
8 Jun 2018, 12:07 pm
Timary Delorme (CRD #736418) was the subject of a March 2018 regulatory action by the Securities & Exchange Commission. [read post]
