Search for: "United States Securities and Exchange Commission"
Results 521 - 540
of 5,177
Sorted by Relevance
|
Sort by Date
27 Mar 2024, 8:10 pm
The Securities and Exchange Commission (SEC) keeps record of every company in the United States. [read post]
9 Nov 2011, 7:41 am
On October 26, 2011, the United States Securities and Exchange Commission (“SEC”) adopted final rules implementing provisions of the Dodd-Frank Act requiring investment advisers that are registered with the SEC that advise one or more private funds and manage at least $150 million in private fund assets to file Form PF with the SEC. [read post]
20 Jul 2007, 5:35 am
The Chairman of the United States Securities and Exchange Commission told reporters recently that the SEC is close to making announcements regarding ongoing stock options investigations. [read post]
7 Mar 2013, 7:04 am
Securities and Exchange Commission. [read post]
20 Dec 2011, 11:49 am
When a transaction occurs in the United States, courts have been permitting claims under the antifraud rule. [read post]
2 Dec 2008, 7:42 pm
Securities and Exchange Commission ...................... [read post]
16 Oct 2019, 2:51 pm
Sept. 26, 2019), the United States Court of Appeals for the Third Circuit took up the question of whether Securities and Exchange Commission (“SEC”) injunctions constitute penalties subject to a five-year statute of limitations. [read post]
20 Mar 2009, 10:20 am
UBS Financial Services, Merrill Lynch, and Citigroup are among the large investment firms that reached similar billion-dollar settlements with state regulators and the Securities and Exchange Commission. [read post]
5 May 2016, 8:02 am
This is an update of "Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case" (BrokeAndBroker.com Blog, March 28, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization (“SRO”) the Financial Industry Regulatory Authority (“FINRA”). [read post]
22 Dec 2016, 2:50 am
This is an update of "FINRA Wins Scottsdale Capital Advisors Motion to Dismiss" (BrokeAndBroker.com Blog, May 9, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization ("SRO") the Financial Industry Regulatory Authority ("FINRA"). [read post]
18 Mar 2016, 5:48 am
Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization (“SRO”) the Financial Industry Regulatory Authority (“FINRA”). [read post]
11 May 2015, 9:03 am
In its complaint filed in the United States District Court for the Northern District of Ohio, the SEC described KGTA Petroleum, Ltd. as a scam and Ponzi scheme. [read post]
8 Oct 2007, 5:34 pm
The Securities and Exchange Commission (SEC) is charged with the responsibility of policing the securities industry. [read post]
11 Nov 2015, 10:00 pm
Securities and Exchange Commission (SEC) unless an exemption from registration is available. [read post]
11 Nov 2015, 10:00 pm
Securities and Exchange Commission (SEC) unless an exemption from registration is available. [read post]
28 Jul 2023, 12:26 pm
The Securities Exchange Commission recently adopted regulations which will have an impact on publicly traded hotel companies that suffer a data breach. [read post]
7 Aug 2012, 8:10 am
On August 2, 2012, the Securities and Exchanges Commission ("SEC") charged an executive in the treasury department at Bristol-Myers Squibb with insider trading. [read post]
2 Jan 2017, 2:53 am
It seems only yesterday that I published "BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional" (BrokeAndBroker.com Blog, December 28, 2016) . . . frankly, it was pretty much only yesterday, give or take a few days. [read post]
10 Jan 2017, 3:44 am
This is an update of "In Face Of Split Circuits, SEC ALJ Rules Because We Say So" (BrokeAndBroker.com Blog, January 6, 2017)It seems only yesterday that I published "BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional" (BrokeAndBroker.com Blog, December 28, 2016) . . . frankly, it was pretty much only yesterday, give or take a few days. [read post]
3 Jan 2017, 3:12 am
This is an update of "In Face of Split Circuits, SEC ALJ Rules Because We Say So" (BrokeAndBroker.com Blog, January 6, 2017)It seems only yesterday that I published "BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional" (BrokeAndBroker.com Blog, December 28, 2016) . . . frankly, it was pretty much only yesterday, give or take a few days. [read post]
