Search for: "In Re Securities and Exchange Commission"
Results 521 - 540
of 2,540
Sorted by Relevance
|
Sort by Date
13 Feb 2017, 5:00 am
The Commission must also provide that a self-regulatory organization may not prohibit the ability of a member to publish or distribute a report solely because the member is participating in a registered offering or other distribution of the covered investment fund’s securities or prohibit such participation because the member has published or distributed a report. [read post]
11 Dec 2008, 5:41 pm
"With respect to new litigation," says litigation partner Keith Miller, a former Securities and Exchange Commission lawyer, "there's not a lot. [read post]
21 Oct 2009, 10:25 am
SEC enforcement action for lax information security after data breach involving independent registered representatives Sidley Austin LLP The Securities and Exchange Commission (SEC) has issued another indication that they are serious about information security. [read post]
15 Dec 2014, 4:15 am
Here’s what it says: Examiners at the Securities and Exchange Commission, as we explained this weekend, spend some of their time catching typos, demanding better punctuation and asking companies to rephrase impenetrable parts of official filings. [read post]
21 Aug 2022, 9:01 pm
In issuing an Advance Notice of Proposed Rulemaking (ANPR), the Commission is seeking comments from the public on the extent and effects of various commercial surveillance and data security practices, as well as on various approaches to crafting rules to govern these practices and the attendant tradeoffs. [read post]
31 Aug 2012, 6:21 am
On August 23, 2012, the Ontario Securities Commission (OSC) published proposed amendments to its fee rule, 13-502. [read post]
19 Apr 2011, 5:56 pm
Securities and Exchange Commission (SEC) to its custody and brochure rules for investment advisers. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
26 Jun 2011, 10:13 pm
Securities and Exchange Commission, and others for libeling him in a special report prepared for Hollinger. [read post]
18 May 2022, 9:01 pm
I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
22 Apr 2016, 10:29 am
On a related note, the time during which a stock remains in the limit state condition should be extended from 15 to 30 seconds to allow markets to re-assess the stock prior to band re-adjustment.A second proposal would have exchanges’ clearly erroneous rules conform to the LU/LD bands. [read post]
21 May 2019, 10:38 am
Stockbroker’s Senior Designations According to the Security and Exchange Commission’s website (SEC), neither they or the Financial Industry Regulatory Authority (FINRA) “endorse professional designations or titles such as “senior specialist” or “retirement advisor” that some financial professionals use to market themselves. [read post]
15 Oct 2023, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
8 Nov 2022, 3:17 pm
Federal Trade Commission and Securities and Exchange Commission v. [read post]
2 Aug 2018, 6:21 am
Radostitz asserted that her client was entitled to the presumption of innocence, despite having made a confession, citing In Re Mohammad. [read post]
7 Feb 2011, 5:56 pm
Any firm acting as a counterparty to certain off-exchange forex transactions involving retail persons is required to register as a Retail Foreign Exchange Dealer. [read post]
29 Oct 2011, 8:02 am
Now, the DCF has cautioned that the Disclosure Guidance only represents its own views and “is not a rule, regulation, or statement of the Securities and Exchange Commission. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
