Search for: "International Securities Exchange"
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8 Dec 2014, 5:00 am
That left me scratching my head over why the Securities and Exchange Commission was involved with a senior living residence. [read post]
10 Jul 2007, 6:22 pm
The Securities and Exchange Commission has published a 121-page proposal for dropping the requirement that non-U.S. companies reconcile to the generally accepted accounting principles (GAAP) as required by U.S. firms in financial reports. [read post]
14 Jul 2018, 6:53 am
Securities and Exchange Commission (the “SEC”), delivered a speech on June 14, 2018, that is helpful in defining the U.S. regulatory framework surrounding digital assets. [read post]
15 Jun 2015, 5:45 pm
Historically, non-U.S. companies listed on U.S. exchanges were sued in securities class action lawsuits less frequently than were listed U.S. companies. [read post]
17 May 2019, 6:06 am
Securities and Exchange Commission, on Monday, May 13, 2019 Tags: Broker-dealers, Cryptocurrency, Financial technology, Howey test, ICOs, Regulation A, SEC, SEC enforcement, Securities enforcement, Securities regulation Goldman Sachs and the 1MDB Scandal Posted by Dennis M. [read post]
25 May 2015, 4:43 pm
On October 17, 2013, when Northern District of Illinois Judge Ronald Guzman entered a $2.46 billion judgment for the plaintiffs in the long-running Household International securities class action lawsuit, it was according to statements at the time the largest judgment ever in a securities fraud trial. [read post]
7 Sep 2022, 12:55 pm
In a world ridden with crises – of climate, health, inequality, and peace and security – ideas of trade and commerce as exchange of goods and services among individuals, corporations, and states hardly capture the layered intricacies involved in their expansion. [read post]
7 Mar 2019, 6:29 am
The cases join several recent instances in which the SEC has shown a willingness to use the internal controls provisions of the Securities Exchange Act of 1934 independently of specific disclosure requirements. [read post]
8 Apr 2010, 8:49 pm
The Securities and Exchange Commission has filed claims against Morgan Keegan & Co, Morgan Asset Management and employees James C. [read post]
13 Jul 2016, 3:05 pm
According to various reports, the Securities and Exchange Commission recently barred Dawn J. [read post]
3 Jan 2011, 1:57 pm
Comments to the Securities and Exchange Commission’s proposal to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act’s whistleblower protections have drawn mixed reactions. [read post]
15 Dec 2011, 12:22 am
This reversal now not only bars plaintiffs from establishing jurisdiction in the United States over a multinational company traded on non-U.S. exchanges, it also limits U.S. jurisdiction in cases involving non-exchange-based securities transactions. [read post]
21 Mar 2011, 3:50 pm
The Israeli investors responded that the shares they purchased were listed both on the NASDAQ and the TASE, and that, in light of the ISA’s stance that such dual listed securities should be included in U.S. federal securities class actions, concerns of international comity cited by the Supreme Court in Morrison did not apply. [read post]
19 Feb 2020, 7:23 am
Others have explored their history and status under international law. [read post]
27 Jul 2012, 9:45 am
The Court held that the alleged misstatements or omissions were not sufficiently material to support a claim under Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
2 Aug 2014, 12:38 am
According to the SEC’s press release: The Securities and Exchange Commission today announced an award of more than $400,000 for a whistleblower who reported a fraud to the SEC after the company failed to address the issue internally. [read post]
4 Aug 2012, 9:17 am
Nomura Securities Co. [read post]
27 Dec 2019, 6:59 am
Securities and Exchange Commission, on Saturday, December 21, 2019 Tags: Disclosure, International governance, SEC, Securities regulation, Transparency Statement by Commissioner Peirce on Proposed Resource Extraction Rule Posted by Hester M. [read post]
6 Jul 2010, 11:39 am
First, the newly established FCPA unit at the Securities and Exchange Commission is investigating companies in the pharmaceutical and energy industries that do business in nations designated as state sponsors of terrorism. [read post]
10 Mar 2015, 9:47 am
Last week, the Securities and Exchange Commission announced an award payout of between $475,000 and $575,000 to a former company officer who reported information about an alleged securities fraud. [read post]
