Search for: "Application of Securities and Exchange Commission"
Results 61 - 80
of 3,487
Sorted by Relevance
|
Sort by Date
13 Sep 2011, 3:19 pm
Attorneys at the SEC state in the application that although D&T Shanghai “has acknowledged possessing vast amounts of responsive documents, D&T Shanghai has refused to produce any documents to the SEC. [read post]
27 Jan 2017, 6:13 am
Securities and Exchange Commission (U.S. [read post]
18 Jul 2017, 7:38 am
In June 2016, the Commission granted IEX’s application to become a registered national securities exchange. [read post]
12 Oct 2022, 8:25 am
The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of two rule amendments and one new rule proposal (the Equity Market Proposals). [read post]
11 Aug 2015, 6:23 am
Securities and Exchange Commission. [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
8 Apr 2022, 11:36 am
The Securities and Exchange Commission today announced that starting on May 14, 2022, the fee rates applicable to most securities transactions will be set at $22.90 per $1 million. [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
24 Jan 2022, 6:30 am
High-Level Summary for Shareholder Activists Proposed Section 10B of the Securities Exchange Act of 1934, as amended, is structured as a large trader position reporting rule that would be broadly applicable to security-based swap positions, including positions in equity-based swaps, debt-based swaps, security index-based swaps and various combinations thereof. [read post]
