Search for: "International Securities Exchange"
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13 Dec 2010, 1:04 pm
Ashby Jones at the Wall Street Journal says whistleblowers hoping to collect payouts from the Securities and Exchange Commission under new financial reform laws might be waiting quite a while before they see any cash. [read post]
13 Feb 2009, 4:09 am
Several federal agencies, including the Securities and Exchange Commission, the F.B.I. and the Internal Revenue [...] [read post]
22 Feb 2018, 9:00 am
Tell the Securities and Exchange Commission (SEC). [read post]
10 Apr 2018, 4:35 am
Securities and Exchange Commission said it has frozen $27 million in proceeds from insider stock sales. [read post]
25 May 2011, 6:13 am
The blog of the Legal Times newspaper reported on May 25 that the Securities Exchange Commission adopted rules to implement the whistleblower provision (Section 922) of last year’s Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
24 Nov 2014, 6:00 am
SEC, 748 F.3d 359 (2014), responding to petitions for rehearing submitted by the Securities Exchange Commission and Amnesty International. [read post]
4 Dec 2011, 11:05 am
[JURIST] Wall Street organizations International Swaps and Derivatives Association (ISDA) and Securities Industry and Financial Markets Association (SIFMA) [official websites] on Friday filed a lawsuit challenging a regulation [complaint, text] implemented by the Commodity Futures Trading Commission (CFTC) [official website] that limits speculative trading. [read post]
22 Sep 2005, 1:22 pm
[JURIST] The US Securities and Exchange Commission [official website] voted 5-0 at a public meeting Wednesday to give small public companies an additional extra year to comply with requirements to file reports on the strength of their internal financial controls under the Sarbanes-Oxley Act of 2002 [PDF text]. [read post]
23 Sep 2010, 6:32 am
September 22, 2010SEC Blasted on Goldman (WSJ)http://go.justia.com/zxwpv The Securities and Exchange Commission's internal watchdog said thetiming of a fraud lawsuit against Goldman Sachs Group Inc. filed by theSEC was "suspicious," suggesting agency officials tried to distractattention from a report criticizing the SEC for failing to detect analleged Ponzi scheme.Source: Justia Law Blogging Ideas, September 23, 2010. [read post]
17 Jan 2012, 5:44 am
Apparently recognizing that it is no easier to meet its own internal agency deadline than the specified April 2011 statutory promulgation date, the Securities and Exchange Commission missed an end of year 2011 target for releasing a final rule implementing the “Conflict Minerals” provisions in section 1502 of the Dodd-Frank Wall Street Reform and Consumer [...] [read post]
8 Oct 2004, 7:33 am
A federal judge in Chicago Friday dismissed a $1.25 billion racketeering suit brought by Hollinger International, Inc. accusing former Chief Executive Conrad Black and his various corporate interests of pocketing more than $380 million in company funds in a series of actions recently documented in a scathing Hollinger report filed with the court and the Securities and Exchange Commission. [read post]
2 Apr 2015, 9:46 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) amended the Securities and Exchange Act to include the whistleblower incentives and protections set forth in Section 21F. [read post]
2 Apr 2015, 9:46 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) amended the Securities and Exchange Act to include the whistleblower incentives and protections set forth in Section 21F. [read post]
17 Feb 2009, 10:03 am
Stanford International Bank was a Ponzi scheme. [read post]
24 Jun 2021, 5:01 am
This new office will be tasked with setting up an information sharing and analysis organization to promote and facilitate the exchange of information on research security ri [read post]
7 Apr 2017, 9:26 am
The Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) has published a summary note of a roundtable on compensation practices in the securities sector that took place on 13 December 2016. [read post]
13 Apr 2023, 5:01 am
New Approaches to Secure Software Supply Chains Drawing on the expertise of an international expert working group, one of us recently co-authored a report for the Berlin-based tech policy think tank Stiftung Neue Verantwortung seeking to provide policymakers on both sides of the Atlantic with a toolbox to strengthen software supply chain security. [read post]
14 Feb 2013, 10:00 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
26 Oct 2016, 11:32 am
On September 29th, 2016 the Securities and Exchange Commission (“SEC”) announced that International Game Technology (“IGT”), a casino-gaming company, would pay a penalty of $500,000 for dismissing an employee (the “Whistleblower”) who raised questions about its cost accounting model. [read post]
5 Dec 2009, 2:13 pm
Denise Voigt Crawford, the Texas securities commissioner and current North American Securities Administrators Association president, says it isn’t evident that the US Securities and Exchange Commission has implemented key reforms to the issues that allowed the agency to fail to detect Bernard Madoff’s $50 billion ponzi scheme for almost 20 years. [read post]
