Search for: "Securities and Exchange Commission"
Results 661 - 680
of 22,154
Sorted by Relevance
|
Sort by Date
25 May 2022, 6:22 am
Nasdaq and a group of securities exchanges challenged the 2020 rule as arbitrary and capricious. [read post]
2 Feb 2012, 8:11 am
Those engaged in deceptive conduct in an effort to defraud will face punishments of monetary penalty, lifelong ban from securities industry and even prison time. [read post]
12 Dec 2019, 7:09 am
On 11 December 2019, the European Securities and Markets Authority (ESMA) issued a final report containing draft amendments to Commission Implementing Regulation (EU) 2016/1646, which specifies the main indices and recognised exchanges pursuant to paragraph 8 of Article 197 of the Capital Requirements Regulation (CRR). [read post]
7 Oct 2010, 11:14 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Barbara Alexander, a syndicated radio talk show host based in Monterey, California, who hosted a show for entrepreneurs called MoneyDots. [read post]
7 Dec 2018, 1:29 pm
The following are some of the more common closing costs allowable in a Sec. 1031 like kind exchange: Broker’s commissions; Real estate agent commissions; Title transfer taxes; 1031 exchange facilitator fee; Owner’s policy title insurance fees; Escrow fees; Attorney’s fees; and Title recording fees. [read post]
4 Apr 2011, 10:37 am
The Hong Kong Securities and Futures Commission is determined to continue its robust regulation of hedge funds by participating with IOSCO in setting internal standards and good practice for the hedge fund industry and performing joint inspections with the SEC on some dual-registered hedge fund managers who are both licensed in Hong Kong and registered with the SEC, said SFC Chief Executive Officer Martin Wheatley . [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
15 Dec 2021, 10:40 am
The Securities and Exchange Commission today voted to propose rules to prevent fraud, manipulation and deception in connection with security-based swaps, to prevent undue influence over the chief compliance officer (CCO) of security-based swap dealers…Read the Full Press ReleaseHave a securities law question? [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]
6 Mar 2019, 5:00 am
In an Investor Alert, the Financial Industry Regulatory Authority and the US Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) sought to inform investors about the risks involved in securities-backed lines of credit (SBLOCs). [read post]
17 May 2022, 10:26 am
It’s not unusual for financial advisors to pitch certain stocks that don’t have to follow the strict disclosure rules laid down by the Securities and Exchange Commission (SEC) and FINRA, the regulator of the US securities industry. [read post]
21 Mar 2015, 5:54 pm
Securities and Exchange Commission. [read post]
6 Oct 2009, 5:18 am
A recently filed lawsuit claims advisers with Securities America chose to ignore obvious red flags in an effort to sell hundreds of millions of dollars' worth of securities notes in Medical Capital Holdings, a California medical receivables company that now faces securities fraud charges from the Securities and Exchange Commission (SEC). [read post]
7 Jun 2023, 6:47 am
Since at least 2019, the Commission says, Coinbase has made billions by facilitating the buying and selling of crypto asset securities. [read post]
16 Apr 2010, 11:09 am
In late January, 2010, by a 3 to 2 vote of the Commissioners, the Securities and Exchange Commission (SEC) adopted an interpretive release regarding reporting public company disclosure requirements arising from business or legal developments related to climate change. [read post]
