Search for: "US Securities and Exchange Commission"
Results 641 - 660
of 14,319
Sorted by Relevance
|
Sort by Date
13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
8 Dec 2020, 10:00 pm
A recent enforcement action (Proceeding) by the US Securities and Exchange Commission (SEC) against a state-chartered trust company (Trust Company) has attracted attention in the banking and asset management industries. [read post]
5 Aug 2014, 2:00 pm
Securities and exchange Commission has said that Samuel and the estate of Charles Wyly ought to pay as much as &750 million for using a web of offshore trusts to illegally hide stock holdings and... [read post]
23 Jan 2019, 5:56 am
On December 19, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A allowing U.S. and Canadian companies that file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), to conduct securities offerings using Regulation A. [read post]
27 Sep 2019, 10:50 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 23 soliciting entities, two impersonators of genuine firms, and 12…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
31 Aug 2020, 1:09 pm
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 23 soliciting entities, eight impersonators of genuine firms,…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jan 2021, 7:46 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 28 soliciting entities, three impersonators of genuine firms, and six…Read the Full Press ReleaseHave a securities law question? [read post]
1 Nov 2022, 8:38 am
(Securities and Exchange Commission). [read post]
27 Aug 2021, 9:35 am
The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. [read post]
5 Feb 2016, 1:46 pm
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other regulators, regularly engage in investigations to explore, deter and punish market conduct that violates the securities laws and industry rules. [read post]
18 Jan 2021, 4:15 pm
On December 16, 2020, the US Securities and Exchange Commission (SEC or Commission) announced that it had adopted final rules requiring resource extraction issuers to disclose payments to governments related to the commercial development of oil, natural gas or minerals (the Rules). [read post]
16 May 2022, 11:49 am
Investigating Potential Securities Claims involving ACP X LLP According to an SEC administrative order on March 22, 2022, The Securities and Exchange Commission announced charges against an accounting and auditing firm involving allegedly improper professional conduct in their 2015 and 2016 audits of $17 million private equity fund ACP X, LLP. [read post]
28 Nov 2012, 2:42 pm
Earlier this week, four Indian brokerage houses entered into settlements with the US Securities and Exchange Commission (SEC) for charges of carrying on brokerages services to institutional investors in the United States (US) without registration under the US Securities Exchange Act of 1934 (the Exchange Act). [read post]
9 Jan 2019, 10:28 am
The post 1035 Exchange Process Simplified appeared first on White Securities Law. [read post]
20 Dec 2011, 11:49 am
In a letter to the SEC, the US Chamber of Commerce said there is no basis for the Commission to recommend congressional action to alter the US Supreme Court’s ruling in Morrison setting a transactional test for the extraterritorial application of the federal securities laws. [read post]
15 Jul 2012, 10:19 pm
Securities Audit Trail: The Securities and Exchange Commission (SEC) approved a final rule under the Securities Exchange Act of 1934 to require national securities exchanges and associations to submit a national market system plan to create, implement, and maintain a consolidated audit trail for securities to capture customer and order event information across all markets, from the time of order inception through… [read post]
3 Mar 2017, 8:01 am
The Securities and Exchange Commission [official website] complaint alleged that Paxton, among other things, actively recruited investors for Servergy Inc., a computer hardware company, in exchange for an undisclosed payment of 100,000 shares of common stock in the company and a 10 percent commission... [read post]
22 Mar 2016, 6:19 am
Securities and Exchange Commission. [read post]
