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27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
22 Dec 2014, 10:48 am
As mandated by the Jumpstart Our Business Startups Act (JOBS Act), on December 17 the Securities and Exchange Commission approved the issuance of proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Securities Exchange Act of 1934. [read post]
21 Jun 2010, 7:05 am
The Securities and Exchange Commission announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) are filing proposed rules to clarify the process for breaking erroneous trades. [read post]
5 Nov 2010, 4:42 pm
The Securities and Exchange Commission [read post]
24 Jan 2022, 6:30 am
On December 15, 2021, the Securities and Exchange Commission (“SEC”) proposed for comment new rules that would require any person or group of persons who owns security-based swap positions that exceed a specified reporting threshold amount to publicly report on a new Schedule 10B the positions and certain related information within one business day following execution of the security-based swap transaction that triggers the reporting… [read post]
25 Jan 2022, 5:44 am
Securities and Exchange Commission. [read post]
13 May 2008, 7:26 am
The information was disclosed to investors in a Wachovia filing with the Securities and Exchange Commission on May 12. [read post]
16 Dec 2008, 10:24 pm
Securities and Exchange Commission in 1999. [read post]
26 Oct 2016, 7:51 am
On October 18, 2016, the Securities and Exchange Commission (“SEC”) issued cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b), and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), Section 203(f) of the Investment Advisors Act of 1940 (“Advisors Act”), and Section 9(b) of the Investment Company Act of 1940… [read post]
11 Sep 2018, 1:33 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
7 Oct 2009, 7:06 pm
Securities and Exchange Commission officials and top state securities regulators. [read post]
8 Apr 2010, 2:11 pm
At its next Open Meeting, April 14, the SEC will consider: Item 1: The Commission will consider whether to propose a large trader reporting requirement, pursuant to Section 13(h) of the Securities Exchange Act of 1934, which would require large... [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]
23 Feb 2011, 10:53 am
According to regulatory filings with the Securities and Exchange Commission (SEC), earlier this month regulatory authorities sent a "Wells Notice" to E*Trade Securities alleging securities law violations in connection with the firm's sale of Auction Rate Securities. [read post]
22 May 2019, 9:02 am
The US Securities and Exchange Commission (SEC) has filed civil charges against Charles Nilosek for acting as an unregistered broker and illegally selling Woodbridge securities to retail investors. [read post]
4 Sep 2008, 5:40 am
News release: "The Securities and Exchange Commission today charged two Wall Street brokers with defrauding their customers when making more... [read post]
