Search for: "In Re Securities and Exchange Commission"
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16 Sep 2021, 9:03 pm
Securities and Exchange Commission should require companies to disclose their climate-related risks to investors. [read post]
10 Sep 2021, 6:17 am
Securities and Exchange Commission. [read post]
9 Sep 2021, 9:13 pm
Coinbase is the largest crypto exchange in the United States. [read post]
3 Sep 2021, 3:30 am
“Catalyst has become aware that Robinhood has been giving away shares of Catalyst’s common stock at no charge as part of its promotional program,” Catalyst Chief Executive Patrick McEnany wrote in a June comment letter to the Securities and Exchange Commission. [read post]
2 Sep 2021, 9:03 pm
Securities and Exchange Commission (SEC) issued a request for information and comments from the public concerning retail investment firms’ use of digital engagement practices—such as incorporating celebrations and gamifying trading by offering prizes to investors. [read post]
1 Sep 2021, 3:00 am
Welcome to Abbott & Kindermann, Inc. [read post]
1 Sep 2021, 3:00 am
Welcome to Abbott & Kindermann, Inc. [read post]
25 Aug 2021, 3:00 am
Of the remaining 23 proposals, three received at least 10% support from shareholders, six were excluded by the Securities and Exchange Commission (SEC), and seven reached the 3% threshold necessary for us to be able to provisionally file again in 2022. [read post]
24 Aug 2021, 6:34 am
”Under the repurchase program, repurchases can be made from time to time using a variety of methods, including open market purchases, all in compliance with the rules of the United States Securities and Exchange Commission and other applicable legal requirements.The repurchase program does not obligate the Company to acquire any particular amount of ordinary shares, and the repurchase program may be suspended or discontinued at any time at the Company’s… [read post]
20 Aug 2021, 7:10 am
"During the panel discussion, Berkovitz explained that intermediaries (in the June 8, 2021 speech he identified "banks, exchanges, futures commission merchants, payment clearing facilities, and asset managers") reinforce the stability of U.S. markets. [read post]
20 Aug 2021, 4:00 am
DeJoy’s financial adviser purchased the bonds on the open market, Postal Service spokesperson Jeffrey Adams said, and Bloom manages a division separate from the one that sells public securities. [read post]
19 Aug 2021, 9:35 am
’s - a United States financial services company that operates stock exchanges - proposed rules regarding diversity on boards of directors were approved by the Securities and Exchange Commission (“SEC”) on August 6, 2021. [read post]
17 Aug 2021, 10:23 am
But its September 2020 Form 8-K with the Securities and Exchange Commission said that SSNs, bank account information, usernames, and passwords might have been taken. [read post]
11 Aug 2021, 4:02 pm
Defining and Understanding Drug Trafficking The CDSA defines trafficking, in respect of a substance classified in Schedule I to V as: (a) The selling, administration, giving, transferring, transporting, sending or delivering of the substance;(b) The selling of an authorization to obtain the substance; or(c) To offer to do anything mentioned in (a) or (b).An exchange of money is not required for the completion of a trafficking offence. [read post]
9 Aug 2021, 2:02 am
Are companies securing unwarranted monopoly power by raising barriers to litigating the validity of their patents? [read post]
7 Aug 2021, 7:00 am
Securities and Exchange Commission (SEC) to recover over $50 million. [read post]
2 Aug 2021, 2:08 pm
Resources For Seniors In addition to FINRA, the Securities And Exchange Commission (SEC) also has a range of resources on its website, starting with their Office of Investor Education and Advocacy. [read post]
2 Aug 2021, 1:49 pm
The Securities And Exchange Commission is the government agency that regulates the financial services industry, including stockbrokers. [read post]
2 Aug 2021, 8:51 am
SEC Charges Real Estate Executive With Defrauding Vestin REIT Investors According to the Securities and Exchange Commission on July 30, the regulator is charging an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
2 Aug 2021, 5:56 am
It’s been less than a year since a new disclosure rule by the Securities and Exchange Commission (SEC) took effect, which required companies to provide additional detail in their 10-K reports around their human capital management (HCM). [read post]
