Search for: "Securities and Exchange Commission"
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18 Nov 2013, 11:55 am
McCann, Eddie O'Neal, and Carmen Taveras have posted Private Placement Real Estate Valuation on SSRN with the following abstract: As a result of the Securities and Exchange Commission's relaxation of its prohibition against the marketing of... [read post]
11 Jan 2011, 10:44 am
., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
22 Nov 2013, 10:39 am
Seidt states: NASAA shares the concerns of the [Securities and Exchange Commission’s Investor Advisory Committee] and SEC Chair Mary Jo White that... [read post]
22 Jun 2009, 2:50 pm
Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate, on June 22, 2009. [read post]
20 Dec 2010, 4:23 pm
On December 20, the SEC issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's... [read post]
24 Jun 2024, 6:00 am
On June 18, 2024, the US Securities and Exchange Commission announced a settlement with R.R. [read post]
9 Oct 2018, 5:19 am
Earlier this month, the Securities and Exchange Commission announced that it had reached a settlement with Ross Shapiro, a former managing director of Nomura Securities International, Inc. [read post]
3 Jul 2019, 11:57 am
Securities and Exchange Commission. [read post]
11 Jan 2011, 10:27 am
” Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASD’s Interpretation of Its Suitability Rule). [read post]
11 Jan 2011, 10:27 am
FINRA has stated that andldquo;defining the term andlsquo;recommendationandrsquo; is unnecessary and would raise many complex issues in the absence of specific facts of a particular case.andrdquo; Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASDandrsquo;s Interpretation of Its Suitability Rule). andnbsp; Strategies andnbsp; The new rule… [read post]
1 Feb 2016, 2:45 pm
On 19 December 2014, the European Securities and Markets Authority (ESMA) submitted to the European Commission draft implementing technical standards (ITS), pursuant to the Capital Requirements Regulation 575/2013, specifying a list of main indices and recognized exchanges. [read post]
22 Oct 2020, 9:09 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission, at their first joint open meeting to vote on rulemaking initiatives, today approved: (1) a joint final rule to harmonize the minimum margin level for security futures…Read the Full Press ReleaseHave a securities law question? [read post]
29 Dec 2011, 10:27 am
Securities and Exchange Commission issued some guidance for when publicly listed companies must disclose hacking incidents or other breaches of their cyber security to investors. [read post]
9 May 2018, 6:02 am
Securities and Exchange Commission (SEC) might bar IPO-related lawsuits in lieu of arbitration. [read post]
12 Jul 2012, 9:30 pm
The Securities and Exchange Commission (SEC) approved a final rule that requires national securities exchanges and the Financial Industry Regulatory Authority to create a database to facilitate stock trade audits.The Federal Trade Commission (FTC) is reportedly considering levying a $22.5 million fine on Google for bypassing a privacy setting on Apple's Safari web browser. [read post]
7 Jan 2010, 3:09 pm
Gail Henderson has posted the following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to... [read post]
25 Jul 2010, 10:43 pm
The inspector general of the Securities and Exchange Commission is investigating whether political or other factors influenced the timing of the filing and subsequent settlement of the commission's securities fraud case against Goldman Sachs. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
23 Aug 2007, 7:43 am
Securities and Exchange Commission (SEC) Chairman Christopher Cox recently delivered an SEC staff "white paper" to Congress that calls for significant improvements in disclosure and accounting in the municipal securities market to better protect investors. [read post]
3 Dec 2021, 10:40 am
The Securities and Exchange Commission today announced that Ernesto A. [read post]
