Search for: "In Re Securities and Exchange Commission"
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7 Feb 2011, 5:56 pm
Any firm acting as a counterparty to certain off-exchange forex transactions involving retail persons is required to register as a Retail Foreign Exchange Dealer. [read post]
8 Nov 2022, 3:17 pm
Federal Trade Commission and Securities and Exchange Commission v. [read post]
21 May 2019, 10:38 am
Stockbroker’s Senior Designations According to the Security and Exchange Commission’s website (SEC), neither they or the Financial Industry Regulatory Authority (FINRA) “endorse professional designations or titles such as “senior specialist” or “retirement advisor” that some financial professionals use to market themselves. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
17 May 2023, 6:41 am
Securities and Exchange Commission to resolve its dispute with law firm Covington & Burling over the agency’s demand for the names of 300 clients affected by a cyberattack on the firm. [read post]
15 Aug 2022, 1:58 pm
They explain that a number of developments, including "the heightened consideration of institutional investors and proxy advisory firms on ESG board oversight and ESG considerations more generally, as well as various recent proposed rules and initiatives of the Securities and Exchange Commission (SEC) with respect to ESG matters, including the proposed climate rules issued by the SEC earlier this year," have induced many boards of directors to assume direct… [read post]
23 Jun 2011, 2:00 am
House of Representatives that would raise the threshold for mandatory registration under the Securities Exchange Act of 1934 (the “Exchange Act”) from 500 persons holding equity securities of record to 1,000 persons for all companies.[1] This bill would also exclude accredited investors and securities held by persons who received such securities pursuant to employee compensation plans from counting against… [read post]
13 Apr 2023, 3:15 am
As noted above, should any issuers be identified as CIIs for two consecutive years in the future, an initial trading prohibition on the issuer’s securities would be imposed. [read post]
4 Feb 2021, 12:30 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
13 Dec 2019, 3:15 am
We’re continuing to post memos in our “Direct Listings” Practice Area. [read post]
23 Nov 2021, 9:52 am
On Tuesday, in its statement to the Observer, CPI included the June 4, 2020, email exchange and said: “To be clear, Mr. [read post]
9 Nov 2007, 6:45 am
The Securities and Exchange Commission appears poised to adopt a rule that would bar investors from filing proxy access proposals in 2008, a prospect that has alarmed some investors and Democratic lawmakers. [read post]
29 May 2013, 11:15 am
On Wednesday, the Securities and Exchange Commission (SEC) settled with the NASDAQ stock exchange for a cool $10 million. [read post]
2 Feb 2020, 4:49 pm
The SFC’s proposals set out in the Consultation Paper are based on the margin requirements framework developed by the Working Group on Margining Requirements, with input from members of the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO). [read post]
8 Oct 2009, 8:55 pm
He has to make key decisions within the next weeks, before issuing his Q3 2009 financial reports, on how to handle certain financial reporting violations uncovered by this blog and now being investigated the Securities and Exchange Commission. [read post]
18 Mar 2011, 3:18 pm
In exchange for the payments, the Securities and Exchange Commission said, IBM received contracts for computer gear. [read post]
18 Nov 2018, 8:48 pm
Proposals for a national security exchange are not new in Canada. [read post]
13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
