Search for: "Securities and Exchange Commission"
Results 681 - 700
of 22,154
Sorted by Relevance
|
Sort by Date
13 Feb 2010, 9:19 am
It is a portfolio of securities that trades on the stock exchanges. [read post]
6 Jun 2008, 6:33 pm
Overstock.com (NASDAQ:OSTK) announced today that the Salt Lake City office of the SEC notified them that it is not recommending any enforcement action against the company. [read post]
12 Apr 2012, 1:08 am
This Commission study considers possible alternative approaches to the question of cross-border private securities litigation. [read post]
16 May 2022, 11:49 am
Investigating Potential Securities Claims involving ACP X LLP According to an SEC administrative order on March 22, 2022, The Securities and Exchange Commission announced charges against an accounting and auditing firm involving allegedly improper professional conduct in their 2015 and 2016 audits of $17 million private equity fund ACP X, LLP. [read post]
4 Feb 2016, 6:04 am
Securities Litigation, a putative securities fraud class action lawsuit, brought under Section 10(b) of the Securities Exchange Act of 1934. [read post]
30 Sep 2012, 8:17 pm
According to Attorney Daniel Duchovny, who is the special counsel to the Securities and Exchange Commission Corporation Finance Division's Office of Mergers and Acquisitions, a two-track merger and acquisition structure known as the Burger King structure could cause certain 1934 Securities Exchange Act provisions to be triggered. [read post]
10 Sep 2018, 10:56 am
As a result, the Securities and Exchange Commission warns individuals to be mindful of certain risks before investing in marijuana-related companies. [read post]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
15 Nov 2010, 4:22 am
The investigation into the Harbinger hedge fund raises questions of jurisdiction for the Securities and Exchange Commission. [read post]
22 May 2012, 7:06 am
Securities and Exchange Commission Chair Mary SchapiroOn May 21, 2012... [read post]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
26 Sep 2022, 9:23 am
The Securities and Exchange Commission (SEC) Monday charged three men for their roles “in orchestrating fraudulent manipulative securities trading schemes” which resulted in a $100 million valuation for a New Jersey deli and a $120 million valuation for a separate shell company. [read post]
27 Oct 2016, 8:18 am
Securities and Exchange Commission. [read post]
5 Jan 2023, 3:15 am
” In fact, a looming enforcement sweep tops his list of 12 crypto predictions for 2023: An Enforcement sweep carried out by the U.S. securities and Exchange Commission (SEC) of crypto-intermediaries is clearly coming in 2023. [read post]
1 Nov 2022, 8:38 am
(Securities and Exchange Commission). [read post]
10 May 2011, 5:18 am
Public companies and companies registering to go public should be aware of an upcoming fee rate adjustment to filing fees with the Securities and Exchange Commission. [read post]
13 Oct 2023, 8:11 am
The Securities and Exchange Commission today adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered national securities association (RNSA) and require RNSAs to make publicly available…Read the Full Press Release Have a securities law question? [read post]
22 Apr 2025, 2:25 pm
The Securities and Exchange Commission today charged Ramil Palafox for orchestrating a fraudulent scheme that raised approximately $198 million from investors worldwide and for misappropriating more than $57 million of investor funds. [read post]
14 Aug 2024, 2:11 pm
SEC Reportedly Charges Lifemark and Geoffrey Wolterstorff with Unsuitable Investments The Securities and Exchange Commission (SEC) announced on July 29, 2024 that it has reportedly settled charges against New York-based dually-registered broker-dealer and investment adviser, LifeMark Securities Corporation, and its registered representative, Geoffrey Wolterstorff. [read post]
23 Jan 2011, 6:46 am
The Securities Exchange Commission in cooperation with the North American Securities Administrators Association (NASAA) have issued warnings to investors about the risks of peer-to-peer lending via the Web. [read post]
