Search for: "Securities and Exchange Commission"
Results 541 - 560
of 26,449
Sorted by Relevance
|
Sort by Date
13 Jul 2020, 7:09 am
The Securities and Exchange Commission today charged California-based Abra and a related firm in the Philippines for offering and selling security-based swaps to retail investors without registration and for failing to transact those swaps on a…Read the Full Press ReleaseHave a securities law question? [read post]
30 Nov 2020, 2:20 pm
On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange Commission (“SEC”), gave a speech urging advisory firms to empower their Chief Compliance Officers (“CCOs”). [read post]
25 Feb 2020, 8:53 am
Securities and Exchange Commission will take the justices through familiar ground, as they consider once again the boundaries of the broad and multifarious forms of relief available in litigation enforcing the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
1 Jan 2011, 1:46 pm
Here is the abstract: This Article argues that the Securities and Exchange Commission’s first and most significant response to the economic... [read post]
27 Oct 2009, 9:41 pm
Securities and Exchange Commission, SIFMA Annual Conference, New York, New York, October 27, 2009 [read post]
27 Aug 2011, 11:08 am
Crowdfunding Microstartups: It's Time for the Securities and Exchange Commission to Approve a Small Offering Exemption, by Nikki D. [read post]
6 Sep 2009, 8:10 am
Atkins, Securities and Exchange Commission (SEC), and Bradley J Bondi, Counsel to SEC Commissioner; Adjunct Professor of Law, was recently posted... [read post]
31 Jan 2014, 1:39 pm
Securities and Exchange Commission authorized the issuance of proposed rules... [read post]
3 Feb 2013, 8:48 am
Here is the abstract: The Staff of the Securities and Exchange Commission has announced... [read post]
14 Sep 2011, 7:27 pm
Attorneys at the Securities and Exchange Commission have filed litigation against two Florida men alleging that they defrauded teachers and retirees in a $22 million Ponzi scheme by posing as a private equity fund. [read post]
26 May 2013, 1:41 pm
Desire, Conservatism, Underfunding, Congressional Meddling, and Study Fatigue: Ingredients for Ongoing Reform at the Securities and Exchange Commission? [read post]
6 Sep 2015, 11:05 am
Vollmer has posted Four Ways To Improve SEC Enforcement on SSRN with the following abstract: The enforcement program at the Securities and Exchange Commission has been the subject of severe criticism in recent years. [read post]
24 May 2013, 11:31 am
The White House announced that it is nominating two individuals to seats on the SEC: Michael Sean Piwowar, of Virginia, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2018, vice Troy A.... [read post]
11 Oct 2017, 4:02 pm
Robbennolt have posted An Empirical Study of Admissions in SEC Settlements on SSRN with the following abstract: Transparency and accountability were the announced aims of the Securities and Exchange Commission (SEC) as it unveiled a... [read post]
14 Sep 2011, 7:27 pm
Attorneys at the Securities and Exchange Commission have filed litigation against two Florida men alleging that they defrauded teachers and retirees in a $22 million Ponzi scheme by posing as a private equity fund. [read post]
20 Dec 2009, 6:35 am
Evolutionary Enforcement at the Securities and Exchange Commission, by Jayne W. [read post]
17 Jul 2010, 12:13 pm
Here is the abstract: This study examines the conditions under which the Securities and Exchange Commission (SEC) exercises... [read post]
22 Sep 2011, 1:17 pm
David Kotz, Inspector General of the Securities and Exchange Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, and Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on... [read post]
7 Sep 2012, 11:45 am
The Securities and Exchange Commission today announced that its market technology roundtable, which was scheduled for Sept. 14, will be held on Oct. 2. [read post]
22 Sep 2011, 1:13 pm
Securities and Exchange Commission, Before the Subcommittee on Oversight and Investigations of the U.S. [read post]
