Search for: "Securities And Exchange Commission"
Results 501 - 520
of 26,449
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 Nov 2020, 8:10 am
The Securities and Exchange Commission today filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for violations that related to unsuitable sales of complex exchange-traded products to…Read the Full Press ReleaseHave a securities law question? [read post]
