Search for: "United States Securities and Exchange Commission"
Results 581 - 600
of 5,179
Sorted by Relevance
|
Sort by Date
20 Feb 2017, 4:54 am
Following on that conviction, in 2012, the United States Securities and Exchange Commission ("SEC") instituted administrative proceedings to permanently bar Bartko from associating with six classes of securities market participants, but an SEC Administrative Law Judge ("ALJ") only recommended the imposition of four classes of bars. [read post]
25 Jan 2017, 5:11 am
Following on that conviction, in 2012, the United States Securities and Exchange Commission ("SEC") instituted administrative proceedings to permanently bar Bartko from associating with six classes of securities market participants, but an SEC Administrative Law Judge ("ALJ") only recommended the imposition of four classes of bars. [read post]
31 Jan 2023, 10:14 am
On January 30, 2023, the United States Securities and Exchange Commission (“SEC”) published a Risk Alert including its observations from Broker-Dealer Examinations Related to Regulation Best Interest (“Reg BI”). [read post]
14 Dec 2017, 10:12 am
The European Commission has adopted Implementing Decisions on the equivalence of the legal and supervisory frameworks in the following three countries, in accordance with Article 25(4)(a) of MiFID II: Commission Implementing Decision of XXX on the equivalence of the legal and supervisory framework in Australia applicable to financial markets in accordance with MiFID II; Commission Implementing Decision of XXX on the equivalence of the legal and supervisory framework… [read post]
22 Apr 2015, 8:19 am
Proposals before the United States Congress could, if passed, offer targeted liability protection to companies that participate in approved exchanges. [read post]
9 Jun 2009, 9:32 pm
The Massachusetts Securities Division and the Securities and Exchange Commission had accused Evergreen and one of its affiliates of inflating the value of its Ultra Short Opportunities Fund by up to 17%. [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
3 May 2022, 6:32 am
Each of the individual amici is a sophisticated businessperson and investor who has publicly litigated against the United States Securities and Exchange Commission (“SEC”). [read post]
3 May 2022, 6:32 am
Each of the individual amici is a sophisticated businessperson and investor who has publicly litigated against the United States Securities and Exchange Commission (“SEC”). [read post]
6 Apr 2012, 8:57 am
Securities and Exchange Commission has won an emergency court order freezing the assets of six Chinese citizens accused of insider trading in a China-based pork producer whose shares trade in the United States, the agency announced Friday. [read post]
20 Sep 2018, 6:02 am
SEC Takes Down Ponzi-Like Operation Involving 230 InvestorsThe SEC (Securities Exchange Commission) announced today that it has obtained a court order to shut down a major investment operation worth approximately $345 million. [read post]
31 Oct 2020, 7:03 am
On August 26, 2020, the United States Securities and Exchange Commission (SEC) adopted final amendments under Regulation S-K as part of a Disclosure Effectiveness Initiative to modernize and improve corporate disclosures which will become effective on November 9, 2020. [read post]
27 Oct 2015, 5:00 am
Securities and Exchange Commission Chair Mary Jo White spoke at a meeting of the Managed Funds Association and pointed out areas of concern. [read post]
13 Jul 2016, 10:12 am
In April 2015, the Commission proposed rules that, among other things, addressed the application of Regulation SBSR to security-based swap activity of non-U.S. persons within the United States. [read post]
3 Feb 2017, 12:36 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Massachusetts against Michael J. [read post]
3 Feb 2017, 12:36 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Massachusetts against Michael J. [read post]
23 Aug 2021, 9:09 am
Securities and Exchange Commission (SEC). [read post]
22 Aug 2012, 7:49 am
Yesterday, only one year after the United State Securities and Exchange Commission (SEC) whistleblower program was established, the SEC announced its first award under the new program. [read post]
18 Jul 2009, 5:00 am
Two United States Securities and Exchange Commission (“SEC”) employees are currently under investigation for suspected insider trading and other SEC regulatory violations. [read post]
