Search for: "Securities and Exchange Commission"
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13 Feb 2010, 9:19 am
It is a portfolio of securities that trades on the stock exchanges. [read post]
14 Sep 2021, 11:55 am
The Securities and Exchange Commission today announced that App Annie Inc., a leading alternative data provider for the mobile app industry, and its co-founder and former CEO and Chairman Bertrand Schmitt, have agreed to settle securities fraud charges…Read the Full Press ReleaseHave a securities law question? [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 Jun 2021, 9:15 am
The Securities and Exchange Commission today announced settled charges against Loci Inc. and its CEO John Wise for making materially false and misleading statements in connection with an unregistered offer and sale of digital asset securities. [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]
8 Mar 2013, 7:18 am
Official portrait of Securities and Exchange Commission (SEC) Commissioner Luis A.... [read post]
22 May 2012, 7:06 am
Securities and Exchange Commission Chair Mary SchapiroOn May 21, 2012... [read post]
21 Sep 2016, 4:31 pm
Goddamn corporate hacks and their need to honest with the Securities and Exchange Commission. [read post]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
30 Aug 2016, 12:02 pm
Securities and Exchange Commission is the best friend of unemployed attorneys right now. [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]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
21 Mar 2018, 5:00 am
Securities fraud plea ends controversial CEO’s tenureLast week, the Securities and Exchange Commission announced a $700 million securities fraud settlement against Theranos CEO Elizabeth Holmes. [read post]
1 Nov 2022, 8:38 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]
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 Jan 2011, 3:11 pm
Securities and Exchange Commission (“Commission”) is providing this report... [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]
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]
27 Sep 2007, 5:06 am
The Securities and Exchange Commission has opened an investigation into whether the credit-rating agencies improperly inflated their ratings of mortgage-backed securities because of possible conflicts of interest, the head of the commission told Congress on Wednesday. [read post]
