Search for: "US Securities and Exchange Commission"
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23 Jan 2011, 6:46 am
The Securities Exchange Commission in cooperation with the North American Securities Administrators Association (NASAA) have issued warnings to investors about the risks of peer-to-peer lending via the Web. [read post]
27 Oct 2016, 8:18 am
Securities and Exchange Commission. [read post]
6 Jun 2008, 6:33 pm
The use of this feed on other websites breaches copyright. [read post]
26 Mar 2010, 11:24 am
In Securities & Exchange Commission v. [read post]
17 May 2022, 10:26 am
It’s not unusual for financial advisors to pitch certain stocks that don’t have to follow the strict disclosure rules laid down by the Securities and Exchange Commission (SEC) and FINRA, the regulator of the US securities industry. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
27 Apr 2023, 10:00 pm
If passed by Congress and signed into law, the bill could alter the regulatory landscape for electronic delivery (e-delivery) by US Securities and Exchange Commission (SEC) registrants by eliminating the requirement to obtain an investor’s affirmative consent for e-delivery and allowing firms to implement a notice and optout approach to implementing e-delivery. [read post]
20 Nov 2020, 10:26 am
On November 2, 2020, in an effort to harmonize and modernize the exempt offering framework under the Securities Act of 1933 (the Securities Act), the US Securities and Exchange Commission (SEC) adopted a final rule entitled “Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets. [read post]
17 Jul 2009, 7:05 am
[JURIST] Finance expert William Brodsky [FIA profile] on Friday called for the merger [testimony, PDF] of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) [official websites]. [read post]
23 Jan 2003, 12:43 pm
[JURIST] The US Securities and Exchange Commission held an Open Meeting Thursday to set new rules of conduct for attorneys who appear and practice before the Commission. [read post]
7 Jun 2023, 6:47 am
Since at least 2019, the Commission says, Coinbase has made billions by facilitating the buying and selling of crypto asset securities. [read post]
12 Mar 2021, 7:59 am
As one of us (Alperovitch) noted in his testimony before the House Committee on Homeland Security in February, the U.S. should be extremely careful to calibrate its response to the severity and scope of the operation. [read post]
15 Jun 2021, 8:49 am
Securities and Exchange Commission’s Division of Trading and Markets. [read post]
7 Dec 2018, 1:29 pm
If they’re paid using exchange proceeds, they’ll be treated as boot from the exchange and thus be subject to tax. [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [read post]
