Search for: "Securities and Exchange Commission"
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21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
22 May 2012, 7:06 am
Securities and Exchange Commission Chair Mary SchapiroOn May 21, 2012... [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]
21 Mar 2015, 5:54 pm
Securities and Exchange Commission. [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]
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]
12 Apr 2012, 1:08 am
This Commission study considers possible alternative approaches to the question of cross-border private securities litigation. [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]
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]
13 Feb 2010, 9:19 am
It is a portfolio of securities that trades on the stock exchanges. [read post]
27 Oct 2016, 8:18 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]
10 Jan 2011, 3:11 pm
Securities and Exchange Commission (“Commission”) is providing this report... [read post]
19 Jul 2010, 9:00 am
White Collar Watch examines how the financial regulatory overhaul will expand the authority of the Securities and Exchange Commission and the Commodity Futures Trading Commission, the chief market regulators. [read post]
10 Jul 2009, 12:56 pm
For something that nobody seems to be considering, there was a lot of talk Friday morning about merging the Securities and Exchange Commission and the Commodities Future Trading Commission. [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]
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]
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]
1 Nov 2022, 8:38 am
(Securities and Exchange Commission). [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]
