Search for: "In Re Securities and Exchange Commission"
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26 Jul 2022, 3:00 am
Here’s more detail: The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. [read post]
2 Oct 2020, 3:00 am
Here’s an excerpt from the Sunshine Act notice: The Commission will consider whether to issue a Notice, proposing to grant a conditional exemption, pursuant to Sections 15(a)(2) and 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”), from the broker registration requirements of Section 15(a) of the Exchange Act to permit natural persons to engage in certain limited activities on behalf of issuers, subject to conditions. [read post]
20 Dec 2019, 6:10 am
Securities and Exchange Commission. [read post]
12 Jun 2021, 7:53 am
Securities and Exchange Commission. [read post]
10 Sep 2021, 6:17 am
Securities and Exchange Commission. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
4 Feb 2021, 8:34 am
On February 4, 2020, the Securities and Exchange Commission dropped the hammer on GPB, its funds, its owners. [read post]
11 May 2010, 1:38 pm
Meanwhile, the Securities and Exchange Commission (SEC) announced yesterday that it has met with the leaders of the Financial Industry Regulatory Authority, NASDAQ, BATS, Direct Edge, ISE and the CBOE, and that all parties have agreed on a structural framework for strengthening circuit breakers and handling erroneous trades. [read post]
16 Jan 2017, 6:37 am
In addition, the Commission will make use of alternative mechanisms provided by the GDPR to facilitate the exchange of personal data with other third countries with which adequacy decisions cannot be reached. [read post]
29 Dec 2017, 6:00 am
As 2017 (finally) comes to an end, we’re looking back on an eventful year. [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
19 Aug 2010, 8:17 am
Its success or failure hinges on the future actions of regulators, including the Securities and Exchange Commission, he says. [read post]
6 Feb 2023, 9:01 pm
In addition, the staff of the Securities and Exchange Commission has recently made written requests to some public companies regarding their disclosure of risk oversight. [read post]
12 Feb 2018, 7:36 am
In this post, I would like to analyze the trend in the regulation (including guidance) by the Securities and Exchange Commission (the "SEC") of the virtual currencies offerings, often referred to as ICOs (initial coin offerings) or TGEs (token generation events). [read post]
22 Aug 2017, 5:00 am
., 2016 BL 376203 (Nov. 7, 2016), Walgreens Boots Alliance (“Walgreens”) asked the staff of the Securities and Exchange Commission (“SEC”) to permit omission of a proposal submitted by the Sisters of the Humility of Mary (“Shareholders”) requesting that the board of directors issue a report about the risks of the continued sales of tobacco products in Walgreens’ stores. [read post]
28 Oct 2013, 12:20 pm
Gould On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. [read post]
19 Apr 2024, 2:45 pm
The Securities and Exchange Commission is the primary securities regulator in the U.S. [read post]
19 Nov 2018, 6:00 am
American companies are getting hacked, and the Securities and Exchange Commission wants corporate executives to do something about it. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
