Search for: "In Re Securities and Exchange Commission"
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8 Aug 2008, 6:26 pm
UBS will purchase $8.3 billion of the securities from its clients beginning on Oct. 31 under a settlement with New York State Attorney General Andrew Cuomo, the Securities and Exchange Commission, and a group of other state regulators, according to terms of the settlement announced today. [read post]
11 May 2016, 9:26 am
They’re charged with violations of the antifraud provisions of the federal securities laws and related rules. [read post]
14 Aug 2019, 3:00 am
” The notice describes this matter as follows: The Commission will consider whether to publish an interpretation and related guidance regarding the applicability of certain rules, which the Commission has promulgated under Section 14 of the Securities Exchange Act of 1934, to proxy voting advice. [read post]
10 Apr 2024, 3:15 am
Securities and Exchange Commission Mr. [read post]
1 Feb 2023, 6:03 pm
Securities and Exchange Commission; Tom Manganello (U.S. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
15 May 2012, 9:14 am
As discussed here, the Commission announced that beginning on April 19, 2012, the SEC staff will begin to republish Commission orders pursuant to Exchange Act Section 12(j) revoking a company’s Exchange Act registration and Commission stop orders pursuant to § 8 of the 1933 Act on EDGAR. [read post]
26 Jul 2022, 3:00 am
Here’s more detail: The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. [read post]
15 Apr 2021, 3:48 am
This point is supported by Stephanie Yon-Courtin (RE, FR), who also supports the introduction of a DLT SSS but is more in favour of the thresholds in the original Commission proposal. [read post]
2 Oct 2020, 3:00 am
Here’s an excerpt from the Sunshine Act notice: The Commission will consider whether to issue a Notice, proposing to grant a conditional exemption, pursuant to Sections 15(a)(2) and 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”), from the broker registration requirements of Section 15(a) of the Exchange Act to permit natural persons to engage in certain limited activities on behalf of issuers, subject to conditions. [read post]
20 Dec 2019, 6:10 am
Securities and Exchange Commission. [read post]
12 Jun 2021, 7:53 am
Securities and Exchange Commission. [read post]
10 Sep 2021, 6:17 am
Securities and Exchange Commission. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
4 Feb 2021, 8:34 am
On February 4, 2020, the Securities and Exchange Commission dropped the hammer on GPB, its funds, its owners. [read post]
16 Jan 2017, 6:37 am
In addition, the Commission will make use of alternative mechanisms provided by the GDPR to facilitate the exchange of personal data with other third countries with which adequacy decisions cannot be reached. [read post]
2 Sep 2016, 9:00 am
In exchange, the company promises to pay the investor a fixed return on his or her investment, typically principal plus annual interest. [read post]
11 May 2010, 1:38 pm
Meanwhile, the Securities and Exchange Commission (SEC) announced yesterday that it has met with the leaders of the Financial Industry Regulatory Authority, NASDAQ, BATS, Direct Edge, ISE and the CBOE, and that all parties have agreed on a structural framework for strengthening circuit breakers and handling erroneous trades. [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
