Search for: "International Securities Exchange"
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15 Apr 2010, 6:09 am
Supreme Court heard arguments on whether U.S. courts have jurisdiction over cases involving international investors purchasing securities traded on exchanges outside the United States. [read post]
27 Mar 2023, 1:23 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
17 Apr 2008, 11:30 am
Here is the abstract:In this brief essay, prepared as part of a symposium on "The New Federalism: Plural Governance in a Decentered World," I explore the regulatory dynamics at work: (1) in the operation of Securities Exchange Act Rule 14a-8, (2) in the interventions of then-Attorney General Eliot Spitzer in the national securities markets, and (3) in recent steps by the Securities and Exchange Commission to reconcile U.S. and… [read post]
22 Mar 2012, 7:30 am
SEC asks Congress to remove Dodd-Frank swap data barriersThe Security and Exchange Commission’s (SEC) head of internal affairs, Ethiopis Tafara, said that Congress should amend the Dodd-Frank Act and remove barriers to global regulators sharing data about the $708 trillion swaps market. [read post]
17 Jan 2012, 2:35 pm
Securities and Exchange Commission's top internal watchdog is leaving the agency this month, taking on a new role as a manager at an investigative services firm. [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Friday, March 16, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, SEC, Securities regulation, Transparency Proposed Amendments to Public Reporting of Fund Liquidity Information Posted by Hester M. [read post]
16 Jan 2024, 8:05 am
Securities and Exchange Commission (SEC). [read post]
10 May 2023, 9:05 pm
The requirement that companies make ongoing periodic disclosures comes from the second of the New Deal era securities laws: the Securities Exchange Act of 1934. [read post]
4 Apr 2012, 3:38 pm
Simmons, a business professor at the College of William and Mary and Senior Advisor at Cornerstone Research, believes that large settlements involving American International Group, Inc. and other companies, along with increased Securities and Exchange Commission (SEC) enforcement activity, will lead to a successful year in 2012. [read post]
9 Aug 2021, 5:27 am
(BrokeAndBroker.com Blog)Four Individuals Charged with Long-Running Global Pump-and-Dump Scheme / Defendants allegedly generated at least tens of millions in illicit proceeds (DOJ Release)SEC Charges International Microcap Fraud Scheme Participants (SEC Release)SEC Charges Four in International Microcap Fraud Schemes (SEC Release)SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange (SEC Release)In the Matter of Poloniex, LLC (Statement by SEC Commissioner… [read post]
21 Nov 2016, 1:28 pm
Coinbase, one of the largest digital currency exchange companies in the world, will likely be asked to provide the Internal Revenue Service (IRS) with transactional data and other information on all U.S. customers who used its services over a three-year period. [read post]
31 Jan 2019, 3:00 am
Perhaps the Securities and Exchange Commission saw the government shutdown coming when it published its 2019 exam priorities on December 20. [read post]
12 Feb 2024, 6:03 pm
Meyer, Attorney at Law, ABA SLD International Committee Co-Chair | ABA International Law Section National Security Committee Co-Chair This is a joint meeting with ABA International Law Section National Security Committee. [read post]
28 Nov 2023, 12:05 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
10 Jan 2018, 5:00 am
Wolf International Religious Freedom Act. [read post]
19 Jan 2012, 12:32 am
Securities laws, certified a class consisting of all persons who purchased Converium American Depositary Shares on the NYSE, and all U.S residents who purchased their Converium Shares on a non-U.S. exchange. [read post]
3 Jul 2008, 2:26 pm
A corporation which desires to cooperate either with a civil investigative agency, such as the Securities Exchange Commission, or a prosecutive authority, such as the local U.S. [read post]
16 Oct 2013, 4:49 am
A default, by contrast, is a national security event, the loss of one of this country’s great international and domestic assets: Its undoubted creditworthiness. [read post]
12 Dec 2018, 1:05 pm
In 2015, a US district court judge ordered Fujinaga and MRI to pay over $580M as part of the final judgment in the US Securities and Exchange Commission’s civil case against them. [read post]
21 Jun 2016, 9:13 am
On June 9, 2016, the Securities and Exchange Commission (‘SEC”) awarded the second largest whistleblower bounty – $17 million – granted under the Dodd-Frank whistleblower rules to date. [read post]
