Search for: "Securities and Exchange Commission"
Results 61 - 80
of 21,979
Sorted by Relevance
|
Sort by Date
16 Mar 2009, 1:46 am
So, for the brave few, here’s a guide on registering a corporation with the Securities and Exchange Commission (SEC). 1. [read post]
13 Jul 2011, 10:42 am
The Securities and Exchange Commission (SEC) has adopted final rules establishing a whistleblower program to provide financial rewards to individuals who, alone or with others, provide information regarding possible violations of securities laws to the SEC. [read post]
7 Apr 2022, 9:00 am
Securities and Exchange Commission. [read post]
6 Jul 2020, 5:51 am
The Act was the first federal law to mandate disclosure of audited financial statements, it established the Securities and Exchange Commission (SEC), and is still the basis of much financial litigation. [read post]
4 Oct 2016, 6:52 am
Securities and Exchange Commission’s (SEC) review and a spirited debate on equity market structure, the SEC approved IEX’s application to become a national securities exchange on June 17, 2016. [1] As highlighted in the widely read book Flash Boys, by Michael Lewis, IEX employs a speed bump or delay on market participants accessing liquidity on IEX (IEX access delay). [read post]
1 Dec 2022, 8:25 am
The post Cyberattacks- when must publicly traded companies report them to the Securities and Exchange Commission and other agencies? [read post]
11 Apr 2023, 1:44 pm
His firm website is www.JeffNewmanLaw.com The post Securities and Exchange Commission awards $12 million to two whistleblowers who reported misconduct of registered broker dealer appeared first on Jeff Newman Law. [read post]
1 Mar 2023, 12:59 pm
The Securities and Exchange Commission has charged Terren S. [read post]
17 Nov 2021, 12:32 pm
Securities and Exchange Commission (SEC) Gary Gensler has asked staff to recommend rules around ensuring principal trading firms (PTFs) are appropriately registered as dealers, calling for improved transparency in the world’s biggest bond market. [read post]
11 Jun 2012, 2:00 am
Securities and Exchange Commission, 676 F.2d 857, 864 (1982). [read post]
13 Jun 2022, 6:56 am
Charles Schwab Corp. shares slid 1.7% Friday, after the brokerage and wealth-management company said it expects to book a charge of at least $200 million in the second quarter relating to a Securities and Exchange Commission investigation of its robo-advisory business. [read post]
20 Feb 2020, 9:01 pm
The Securities and Exchange Commission (SEC) recently passed Regulation Best Interest (Regulation BI), which imposes on broker-dealers a commitment to act in the best interests of their clients. [read post]
3 Jun 2022, 6:59 am
HE CAN BE REACHED AT 978-880-4758 OR AT JNEWMAN@NEWMANSHAPIRO.COM The post Securities and Exchange Commission charges steel pipe manufacturer with violating Foreign Corrupt Practices Act for Brazilian bribes. [read post]
9 Mar 2011, 5:56 am
SECURITIES AND EXCHANGE COMMISSION WORKERS IN CHICAGO disciplined for porn at work. [read post]
17 Feb 2012, 4:36 am
DID THE SECURITIES & EXCHANGE COMMISSION violate the Administrative Procedure Act? [read post]
5 Jun 2015, 1:06 pm
Securities and Exchange Commission won a judgment against Washington attorney... [read post]
25 Mar 2021, 1:04 pm
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation appeared first on Newman & Shapiro. [read post]
3 Jun 2020, 6:17 am
Securities and Exchange Commission (SEC) if the Public Company Accounting Oversight Board (PCAOB) is prevented from reviewing the companies’ audits. [read post]
21 Jun 2022, 9:04 am
The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of interest provisions. [read post]
9 Feb 2010, 4:17 am
The Securities and Exchange Commission (“SEC”) issued an interpretive release on February 2, 2010, entitled Commission Guidance Regarding Disclosure Related to Climate Change. [read post]
