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17 Apr 2009, 5:00 am
In the audience were a host of other illuminaries (Mary Schapiro attended at least part of the eulogy) and staff of the Commission The comments were thoughtful and accurate. [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]
4 Sep 2015, 7:39 am
Securities and Exchange Commission (SEC). [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
10 Sep 2017, 6:15 am
Securities and Exchange Commission (SEC) which disclosed a patent assignment agreement made with Armonk, NY-based information technology giant IBM (NYSE:IBM). [read post]
20 Feb 2020, 9:00 am
The Commission added that it expresses no view on the question of whether the Securities Act applies to Gram. [read post]
7 Sep 2018, 5:00 am
Securities Fraud Charges Hit Sherman Oaks Real Estate FirmThe Securities and Exchange Commission filed securities fraud charges against five Florida residents last month. [read post]
17 Feb 2009, 7:44 am
Securities and Exchange Commission. [read post]
31 Jan 2014, 1:46 pm
Robert Brown Jr. has published Selling Equity Through Crowdfunding: A Comment on SSRN with the following abstract: The Securities and Exchange Commission has proposed rules that will implement the crowfunding exemption set forth in the JOBS Act. [read post]
8 Mar 2007, 4:16 pm
SEC press release: "The Securities and Exchange Commission this morning suspended trading in the securities of 35 companies that have... [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
20 Jun 2012, 11:45 am
On June 20, 2012, the Securities and Exchange Commission ("SEC") approved a new rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers. [read post]
8 Nov 2019, 8:39 am
The Securities and Exchange Commission is reportedly looking for ways to “better differentiate plain vanilla ETFs from leveraged products, which comprise half of ETNs,” according to Yahoo Finance. [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]
16 Feb 2010, 2:55 pm
On February 16, 2010, IMH Financial Corporation filed a second amended registration statement (Form S-4/A) with the Securities and Exchange Commission (SEC) as part of their ongoing effort to restructure the company with a view towards ultimately filing for an initial public offering (IPO). [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]
14 Sep 2007, 11:15 am
The Post discussed the consequences of Roel Campos stepping down from the Commission. [read post]
21 Aug 2010, 8:25 am
Journal: “The Securities and Exchange Commission, in its first securities-fraud case against a state, accused New Jersey of misleading investors about the health of its two largest state pensions while selling billions of dollars in bonds. [read post]
