Search for: "SECURITIES AND EXCHANGE COMMISSION"
Results 501 - 520
of 26,467
Sorted by Relevance
|
Sort by Date
9 Oct 2009, 11:15 am
The Ontario Securities Commission (OSC) released a notice today respecting the review by OSC staff of the regulatory requirements for stock exchanges and alternative trading systems and their practices. [read post]
30 Sep 2022, 1:00 pm
The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant…Read the Full Press ReleaseHave a securities law question? [read post]
13 Apr 2018, 2:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/3921/securities-industry-commentator/ In today’s Securities Industry Commentator feed: Securities and Exchange Commission / Division of Trading and Markets N... [read post]
4 Sep 2012, 5:44 am
The Hong Kong Securities and Futures Commission has commenced proceedings in the Court of First Instance against Ernst & Young Hong Kong for failing to produce to the SFC specified accounting records and audit work papers relating to the firm’s work as the reporting accountant and auditor for a company seeking to list on the Hong Kong Stock Exchange. [read post]
9 Feb 2009, 2:25 pm
News release: "The United States Securities and Exchange Commission announced that on February 9, 2009, it submitted to the Honorable... [read post]
11 May 2007, 5:15 am
It is a topic addressed in my recent paper, Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure We are jumping ahead of our discussion, but the Friday editorial seems a good place to comment on some relatively recent developments concerning corporate governance. [read post]
7 Dec 2009, 12:34 pm
Securities America and financial adviser Bradley Hofhines have been sued in a potential class action tied to Provident Royalties and oil-and-gas private placements that the Securities and Exchange Commission (SEC) alleged in July were fraudulent. [read post]
8 Dec 2010, 1:18 pm
The Securities and Exchange Commission accused Banc of America Securities LLC, of "rigging municipal bond sales with dummy bids, defrauding hospitals, schools, and other state-run organizations," according to Consumerist. [read post]
8 Jan 2017, 6:00 am
Securities and Exchange Commission (SEC) to expedite an investigation of the chicken producer in relation to the organization’s 2015 undercover investigation of a Tyson Foods slaughter plant. [read post]
22 Mar 2011, 10:04 am
The Commission’s concern is whether diverse platforms are accessible in a non-discriminative manner and whether multiple data sources can be reintegrated at the user level at a reasonable cost.In the Securities Reform Act of 1975, Congress amended the Exchange Act essentially removing the monopoly status of exchanges in the US. [read post]
27 Jun 2018, 12:22 pm
A three-year suspension from the South Carolina Supreme Court The charges against Kern arise from Securities and Exchange Commission (SEC) proceedings initiated against Kern and others following an SEC investigation of a fraudulent investment scheme perpetrated by Craig Berkman. [read post]
21 Jul 2017, 6:05 am
Indiana Public Retirement System (Leidos). [1] The legal question presented in Leidos is whether a regulation issued by the Securities and Exchange Commission (SEC), Item 303 of Regulation S-K (Item 303), creates a duty to disclose that is actionable under the anti-fraud provision set forth in Section 10(b) of the Securities Exchange Act of 1934 and the related Rule 10b-5. [read post]
12 Jan 2021, 2:12 pm
Share Tweet ShareThe Securities and Exchange Commission today announced that Marc P. [read post]
1 Feb 2019, 4:00 am
Securities Fraud Charges for Ukrainian MenFederal authorities have charged two Ukrainian men with securities fraud for hacking the Securities and Exchange Commission computer network. [read post]
23 Apr 2010, 11:19 am
The Securities and Exchange Commission is conducting a review of certain types of exchange traded funds. [read post]
3 Apr 2019, 10:40 am
After months of teasing, on April 3 staff of the Securities and Exchange Commission (“SEC”) issued a long-awaited Framework for “Investment Contract” Analysis of Digital Assets. [read post]
10 Apr 2009, 2:59 pm
Here is the introductory paragraph in its release: The Securities and Exchange Commission ("Commission") is proposing amendments to Regulation... [read post]
14 Jul 2009, 2:17 pm
The SEC announced settlements with three former officers: On July 14, 2009, the Securities and Exchange Commission (the Commission) filed settled Final Judgments against L. [read post]
13 Apr 2010, 1:05 pm
At the April 14 SEC Open Meeting, the Commission will consider the following: Item 1: Large Trader Reporting System The Commission will consider whether to propose a large trader reporting requirement, pursuant to Section 13(h) of the Securities Exchange Act... [read post]
13 Jan 2013, 5:34 am
Securities and Exchange Commission ("SEC") effectively froze the creation of actively managed and leveraged exchange traded funds ("ETFs") that utilize options, futures, swaps, and other derivatives as part of their investment strategies, the SEC has lifted the moratorium on the use of derivatives by actively managed funds while continuing to restrict the use of derivatives by leveraged ETFs. [read post]
