Search for: "In Re Securities and Exchange Commission"
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16 Feb 2012, 1:36 pm
Congress, after all, controls the budget of the Securities and Exchange Commission. [read post]
13 Oct 2018, 7:20 am
Securities and Exchange Commission. [read post]
15 Apr 2010, 12:34 pm
The Securities and Exchange Commission (SEC) announced that it has proposed new rules to govern the field of bonds backed by consumer loans, perhaps best known in its incarnation of mortgage-backed securities sold during the subprime housing boom. [read post]
8 Oct 2021, 10:19 pm
Securities and Exchange Commission enforcement cease-and-desist order (Order) In re App Annie Inc. [read post]
1 Dec 2023, 10:24 am
Private Placements Private placements – securities that aren’t traded on a securities exchange like the New York Stock Exchange – pay a much higher commission than you’d see with a stock, bond, or mutual fund that is traded every moment of every day. [read post]
14 Mar 2019, 3:51 pm
If you’ve never heard of the Business Integrity Commission, or BIC, you’re not alone. [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
16 Apr 2023, 9:01 pm
Securities and Exchange Commission. [read post]
24 Aug 2023, 5:47 am
Originally proposed in 2015, and re-proposed in July 2022, the amendments are intended to narrow the existing exemption and require broker-dealers who engage in off-exchange proprietary trading to become members of a national securities association. [read post]
31 Jul 2022, 9:01 pm
Securities and Exchange Commission. [read post]
26 Jan 2013, 8:59 pm
Securities and Exchange Commission. [read post]
23 Feb 2018, 4:00 am
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [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]
20 Jan 2023, 6:46 am
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
2 Dec 2013, 6:46 am
Securities and Exchange Commission. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
9 Jan 2017, 8:35 am
Securities and Exchange Commission (SEC) to expedite their investigation of Tyson’s deceptions. [read post]
30 Dec 2009, 1:10 pm
Somers On December 14, 2009, the Securities and Exchange Commission re-opened for 30 additional days the comment period for its proposed proxy access rules. [read post]
