Search for: "In Re Securities and Exchange Commission"
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11 Jul 2014, 3:59 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
3 Aug 2014, 12:29 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
11 Feb 2016, 8:19 am
” Moreover, he argued, the legislative histories of the Securities Act, the Exchange Act, and the Administrative Procedure Act all show that Congress intended SEC ALJs to be inferior officers in the constitutional sense. [read post]
22 Nov 2022, 3:30 am
Here’s an excerpt from a CFO Dive article on her remarks: The Securities Exchange Commission (SEC) will look beyond the figures that underlie net income when determining whether a company is in compliance with the agency’s proposed climate risk disclosure rule, an SEC enforcement official said Tuesday. [read post]
20 Apr 2022, 7:28 am
"The focus of the audit will be to evaluate any disparate racial impacts on our nearly one million U.S. hourly employees resulting from our policies, programs, and practices," Amazon said in a proxy statement filed with the Securities and Exchange Commission last Thursday. [read post]
4 Aug 2017, 10:03 am
Financial specialists – Investment firms who oversee extensive portfolios for their customers utilize the Fx market to encourage exchanges in remote securities. [read post]
23 Apr 2021, 9:07 am
For example, Jeff Greene, acting senior director for cybersecurity at the National Security Council, said that “we’re at the point where the federal government simply can’t bear the risk of buying insecure software anymore. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
11 Jan 2016, 11:16 am
On October 29, the Commission also published FAQs on the SFT Regulation. [read post]
20 May 2013, 9:43 am
Readers may feel free to re-post this content elsewhere as well. [read post]
28 Mar 2008, 7:40 pm
Parts of the plan could reduce the power of the Securities and Exchange Commission, which is charged with maintaining orderly stock and bond markets and protecting investors. [read post]
19 May 2007, 1:44 am
After nearly five years of hearing concerns about uncertainty regarding management's responsibilities under 404 and complaints about burdensome audits under its companion auditing standard, the Securities and Exchange Commission may formally make the first change to the provision before Memorial Day weekend. [read post]
4 Feb 2013, 10:11 am
First, the proposed rule is overly broad and goes far beyond the discrete concerns expressed by the Securities and Exchange Commission in August 2009. [read post]
19 Oct 2010, 12:59 am
A late Monday press release from the Securities and Exchange Commission announces a rule proposal to implement the say on pay requirements of the Dodd-Frank Act. [read post]
9 Feb 2022, 5:29 pm
At its open meeting on February 9, the Securities and Exchange Commission offered up a buffet of proposed regulations of private funds. [read post]
19 Jan 2011, 6:13 pm
On July 28, 2010, the Securities and Exchange Commission (“SEC”) amended Part 2 of Form ADV and certain rules under the Investment Advisers Act of 1940 to require registered investment advisers (“RIAs”) to provide clients with a brochure and brochure supplements written in plain English. [read post]
13 Aug 2008, 2:04 pm
Specifically, the story discusses the Securities and Exchange Commission's announcement last week to settle with Citigroup Global Markets, UBS Securities and UBS Financial Services to repurchase auction rate securities of retail investors in the near term and use best efforts to repurchase at par the securities of institutional investors by the end of 2009 or 2010. [read post]
9 Nov 2021, 1:44 pm
In practice, entities engaged in these activities could face significant implications if those activities potentially involve the export, re-export or transfer of cybersecurity items. [read post]
28 Jul 2014, 5:00 am
The exchanges are doubtful about the “maker/taker” system that has become dominant in the wake of Regulation NMS, and the Securities Industry and Financial Markets Association (“SIFMA”), the industry trade group, wants major reforms. [read post]
6 Dec 2007, 8:26 am
Five years after the passage of the Sarbanes-Oxley Act, the Securities and Exchange Commission has increased its civil enforcement efforts, but the agency is collecting less in penalties from companies, and federal prosecutors are bringing fewer criminal cases. [read post]
