Search for: "Securities and Exchange Commission"
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15 Jul 2010, 1:17 pm
Update: Goldman Sachs has agreed to pay $550 million to the Securities and Exchange Commission over a securities fraud case involving a mortgage-linked security. [read post]
6 Jul 2012, 3:26 pm
The Securities and Exchange Commission has approved a controversial pilot proposal from the New York Stock Exchange that will result in some stock trades being diverted away from the traditional exchange. [read post]
25 May 2022, 6:22 am
Nasdaq and a group of securities exchanges challenged the 2020 rule as arbitrary and capricious. [read post]
16 Dec 2017, 6:12 am
§ 78j(b), and Securities and Exchange Commission Rule 10b‐5, 17 C.F.R. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [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]
26 Aug 2020, 2:09 pm
The Securities and Exchange Commission today announced that in fiscal year 2021 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $109.10 per million dollars. [read post]
15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [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]
5 Aug 2010, 10:38 pm
Securities and Exchange Commission, served as an USAID consultant to the [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]
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]
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]
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]
