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22 Feb 2009, 3:56 pm
In the wake of the US Securities and Exchange Commission's accusations that R. [read post]
3 Jul 2014, 9:04 pm
CLS Bank. [read post]
7 Nov 2013, 7:33 am
The most significant issue when offering bank holding company stock is that the transaction must either (i) be registered on an S-4 registration statement, which involves substantial time and cost for the acquiror and would subject the acquiror to periodic reporting requirements under the Securities Exchange Act of 1934 or (ii) alternatively, the holding company stock must be issued pursuant to an exemption from registration (typically the Rule 506 safe-harbor for the Section… [read post]
15 Sep 2021, 6:16 am
Securities and Exchange Commission. [read post]
21 Feb 2012, 1:35 am
Bank. [read post]
9 Aug 2023, 9:01 pm
The G-SIB Proposal would significantly impact banking organizations with substantial cross-border activity, particularly foreign banking organizations that control larger US banking organizations. [read post]
8 Mar 2012, 5:00 am
Bank of America, D.C. [read post]
9 Aug 2018, 12:30 pm
FINRA is an independent self-regulatory organization established under Section 15A [materials] of the Security and Exchange Act to “exercise comprehensive oversight over all securities firms that do business with the public. [read post]
6 Oct 2014, 9:23 am
Securities and Exchange Commission for violating federal securities law. [read post]
5 Feb 2010, 1:00 pm
” The Securities and Exchange Commission has filed a similar action alleging the violation of federal securities laws. [read post]
12 Apr 2018, 2:12 pm
For more information on exchange rates, see Foreign Currency and Currency Exchange Rates. [read post]
10 Sep 2019, 6:18 am
Exchange-traded funds (“ETFs”) are among the most important financial innovations of the modern era. [read post]
18 Jun 2007, 11:49 pm
The Court justified its conclusion in part on the grounds that the Securities and Exchange Commission is better qualified than judges and juries in antitrust cases to determine the legality of conduct in the complex field of initial offerings.The class action was brought by investors who claimed that more than a dozen investment banks and underwriters manipulated the market for IPOs in the dot-com boom period from 1997 to 2000. [read post]
10 Jul 2022, 8:56 pm
In September 2020, the ED directed various banks to completely freeze Amnesty International India’s bank accounts under the FCRA, resulting in the stoppage of the international NGO’s operations in India. [read post]
1 Mar 2011, 7:15 am
According to its annual report filed with the Securities and Exchange Commission, Bank of America expects "significant" legal costs this year. [read post]
17 Mar 2008, 7:00 am
Today, NYMEX Holdings, in partnership with several investment banks and brokers, launched carbon derivatives trading on a new "Green Exchange" in New York. [read post]
19 Jan 2011, 10:55 am
In Optimizing Your Use of Banking and Financial Institution Experts, banking expert witness Michael F. [read post]
24 Mar 2022, 1:15 pm
The U.S. authorities are monitoring crypto exchanges for any transactions in which they assist Oligarchs or others under U.S. sanctions or that allow money laundering. [read post]
14 Oct 2014, 8:58 pm
Securities and Exchange Commission Chair Mary Jo White, U.S. [read post]
17 Nov 2011, 11:31 am
Short-term lending by a London Stock Exchange-owned clearinghouse is increasingly in demand amid turmoil in the Italian financial market. [read post]
