Search for: "Securities And Exchange Commission"
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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]
6 Mar 2015, 6:04 am
Securities and Exchange Commission. [read post]
13 May 2022, 8:59 am
5Cir Issues Historic Rebuke of SEC ALJ SystemCongress has given the Securities and Exchange Commission substantial power to enforce the nation's securities laws. [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]
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]
4 Aug 2017, 9:08 am
In a 1946 Supreme Court case Securities and Exchange Commission v. [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]
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]
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]
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]
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]
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]
9 May 2010, 5:57 am
Commodity Futures Trading Commission (CFTC), and Michel A. [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]
23 Dec 2020, 8:51 am
The Securities and Exchange Commission today issued a statement and request for comment regarding the custody of digital asset securities by broker-dealers in order to encourage innovation around the application of Securities Exchange Act Rule 15c3-3 to…Read the Full Press ReleaseHave a securities law question? [read post]
25 Dec 2020, 8:39 am
The Securities and Exchange Commission today issued a statement and request for comment regarding the custody of digital asset securities by broker-dealers in order to encourage innovation around the application of Securities Exchange Act Rule 15c3-3 to…Read the Full Press ReleaseHave a securities law question? [read post]
17 Aug 2021, 8:45 pm
On 16 August 2021, the European Central Bank (ECB) and the United States’ Securities and Exchange Commission (SEC) signed a memorandum of understanding to prepare for the registration of ECB-supervised entities as security-based swap dealers or major security-based swap participants in the United States. [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]
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]
