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28 Mar 2011, 12:58 pm
The staffs of the Office of the Comptroller of the Currency, the Federal Reserve, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, the Federal Housing Finance Agency, and the Department of Housing and Urban Development (together, the agencies)... [read post]
8 Jan 2013, 1:07 pm
Securities and Exchange Commission (No. 11-1274). [read post]
18 Nov 2013, 11:55 am
McCann, Eddie O'Neal, and Carmen Taveras have posted Private Placement Real Estate Valuation on SSRN with the following abstract: As a result of the Securities and Exchange Commission's relaxation of its prohibition against the marketing of... [read post]
16 Feb 2010, 3:32 pm
The Securities and Exchange Commission Investor Advisory Committee will hold an Open Meeting on Monday, February 22. [read post]
20 Dec 2010, 4:23 pm
On December 20, the SEC issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's... [read post]
24 Jun 2024, 6:00 am
On June 18, 2024, the US Securities and Exchange Commission announced a settlement with R.R. [read post]
22 Nov 2013, 10:39 am
Seidt states: NASAA shares the concerns of the [Securities and Exchange Commission’s Investor Advisory Committee] and SEC Chair Mary Jo White that... [read post]
22 Jun 2009, 2:50 pm
Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate, on June 22, 2009. [read post]
22 Jul 2024, 6:00 am
Securities Exchange Commission’s case against SolarWinds Corporation and its Chief Information Security Officer, Timothy Brown.Continue Reading › [read post]
15 Jul 2021, 3:00 am
SEC Said Firm Didn’t Implement Proper Safeguards To Prevent Misappropriation The Securities and Exchange Commission (SEC) has fined Securities America Advisors $1.75M for allegedly not doing enough to protect customers from having their money stolen by a former registered representative who misappropriated $8M from at least 15 client accounts. [read post]
9 Oct 2018, 5:19 am
Earlier this month, the Securities and Exchange Commission announced that it had reached a settlement with Ross Shapiro, a former managing director of Nomura Securities International, Inc. [read post]
12 Jul 2012, 9:30 pm
The Securities and Exchange Commission (SEC) approved a final rule that requires national securities exchanges and the Financial Industry Regulatory Authority to create a database to facilitate stock trade audits.The Federal Trade Commission (FTC) is reportedly considering levying a $22.5 million fine on Google for bypassing a privacy setting on Apple's Safari web browser. [read post]
11 Jan 2011, 10:27 am
” Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASD’s Interpretation of Its Suitability Rule). [read post]
11 Jan 2011, 10:27 am
FINRA has stated that andldquo;defining the term andlsquo;recommendationandrsquo; is unnecessary and would raise many complex issues in the absence of specific facts of a particular case.andrdquo; Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASDandrsquo;s Interpretation of Its Suitability Rule). andnbsp; Strategies andnbsp; The new rule… [read post]
7 Jan 2010, 3:09 pm
Gail Henderson has posted the following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to... [read post]
25 Jul 2010, 10:43 pm
The inspector general of the Securities and Exchange Commission is investigating whether political or other factors influenced the timing of the filing and subsequent settlement of the commission's securities fraud case against Goldman Sachs. [read post]
23 Aug 2007, 7:43 am
Securities and Exchange Commission (SEC) Chairman Christopher Cox recently delivered an SEC staff "white paper" to Congress that calls for significant improvements in disclosure and accounting in the municipal securities market to better protect investors. [read post]
9 May 2018, 6:02 am
Securities and Exchange Commission (SEC) might bar IPO-related lawsuits in lieu of arbitration. [read post]
20 Jun 2012, 11:45 am
On June 20, 2012, the Securities and Exchange Commission ("SEC") approved a new rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers. [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]
