Search for: "Securities and Exchange Commission"
Results 641 - 660
of 22,154
Sorted by Relevance
|
Sort by Date
3 Dec 2021, 10:40 am
The Securities and Exchange Commission today announced that Ernesto A. [read post]
8 Mar 2007, 4:16 pm
SEC press release: "The Securities and Exchange Commission this morning suspended trading in the securities of 35 companies that have... [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
10 Sep 2017, 6:15 am
Securities and Exchange Commission (SEC) which disclosed a patent assignment agreement made with Armonk, NY-based information technology giant IBM (NYSE:IBM). [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
7 Sep 2018, 5:00 am
Securities Fraud Charges Hit Sherman Oaks Real Estate FirmThe Securities and Exchange Commission filed securities fraud charges against five Florida residents last month. [read post]
20 Feb 2020, 9:00 am
The Commission added that it expresses no view on the question of whether the Securities Act applies to Gram. [read post]
26 Sep 2011, 11:59 am
White Collar Watch examines the Securities and Exchange Commission's first insider trading case involving an exchange-traded fund. [read post]
4 Sep 2015, 7:39 am
Securities and Exchange Commission (SEC). [read post]
21 Aug 2010, 8:25 am
Journal: “The Securities and Exchange Commission, in its first securities-fraud case against a state, accused New Jersey of misleading investors about the health of its two largest state pensions while selling billions of dollars in bonds. [read post]
6 Jul 2012, 3:26 pm
The Securities and Exchange Commission has approved a controversial pilot proposal from the New York Stock Exchange that will result in some stock trades being diverted away from the traditional exchange. [read post]
15 Jul 2010, 1:17 pm
Update: Goldman Sachs has agreed to pay $550 million to the Securities and Exchange Commission over a securities fraud case involving a mortgage-linked security. [read post]
31 Jan 2014, 1:46 pm
Robert Brown Jr. has published Selling Equity Through Crowdfunding: A Comment on SSRN with the following abstract: The Securities and Exchange Commission has proposed rules that will implement the crowfunding exemption set forth in the JOBS Act. [read post]
17 Feb 2009, 7:44 am
Securities and Exchange Commission. [read post]
31 Mar 2023, 6:45 am
The Securities and Exchange Commission today opened public registration for its Municipal Securities Disclosure Conference, which will be held on May 10, 2023, at the SEC’s headquarters. [read post]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [read post]
16 Feb 2010, 2:55 pm
On February 16, 2010, IMH Financial Corporation filed a second amended registration statement (Form S-4/A) with the Securities and Exchange Commission (SEC) as part of their ongoing effort to restructure the company with a view towards ultimately filing for an initial public offering (IPO). [read post]
15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
