Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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12 Mar 2009, 9:19 am
He said when the Securities and Exchange Commission asked about it, he lied to the SEC. [read post]
25 Oct 2022, 10:46 am
Securities and Exchange Commission v. [read post]
12 Jun 2014, 5:58 am
Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014 06/06/2014 09/04/2014 2014-56 In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. [read post]
29 Oct 2007, 9:41 pm
(quoting New York Futures Exchange Rule 306(i)(2)) (emphasis added). [read post]
26 Apr 2019, 5:55 am
Securities and Exchange Commission, on Sunday, April 21, 2019 Tags: Institutional Investors, Investor protection, Proxy advisors, Proxy voting, Regulation NMS, SEC, Securities regulation, Shareholder voting Cryptocurrency and Other Digital Assets for Asset Managers Posted by Gregory S. [read post]
13 Sep 2010, 1:04 am
Sharesleuth took a closer look at the registration statement covering the resale of those shares, and found that no fewer than eight people who participated in the placement have been the subject of Securities and Exchange Commission actions or criminal prosecutions. [read post]
23 Jul 2018, 1:02 pm
Homero Joshua Garza, GAW Miners, LLC, et al., Civil Action No. 3:15-cv-01760 (D. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
11 Feb 2015, 11:31 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
18 Dec 2024, 10:37 am
Securities and Exchange Commission Rule 10b-5. [read post]
23 Apr 2018, 1:20 am
Likewise, the class of purchasers harmed by a stock price drop will comprise the same members in both actions. [read post]
28 Jan 2010, 11:51 pm
In a related civil complaint, the judge gave the Securities and Exchange Commission seven days to file amended securities fraud charges against Nicholas and three other former Broadcom executives, telling an SEC attorney that he found "serious problems of proof" with the existing complaint. [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
28 Apr 2009, 7:14 am
Complete Angler, LLC v. [read post]
22 Mar 2019, 6:27 am
Securities and Exchange Commission, on Saturday, March 16, 2019 Tags: Board communication, Brexit, Climate change, Disclosure, Environmental disclosure, ESG, Information environment, International governance, Investor protection, Long-Term value, Materiality, Sustainability Is it Time for Corporate Political Spending Disclosure? [read post]
30 Sep 2019, 12:44 pm
Oliver Brahmst, a partner in the New York City office of White & Case, was the company’s principal lawyer. [read post]
27 May 2016, 6:12 am
V. [read post]
22 Jun 2011, 10:39 am
In a separate proceeding, the New York attorney general sued JCG and JCM, alleging that they entered into secret agreements to allow market timing in several funds run by JCM. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
