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14 Mar 2023, 8:38 am
The Securities and Exchange Commission (SEC) has filed a petition for certiorari with the U.S. [read post]
15 Dec 2014, 1:17 pm
” would be inconsistent with the law and, by the authors’ own admission, inconsistent with the current policy and practice of the staff of the Securities and Exchange Commission. [read post]
22 Feb 2015, 6:00 am
Securities and Exchange Commission. [read post]
15 Mar 2019, 7:29 am
According to the US Securities and Exchange Commission (SEC), Wedbush Securities has settled allegations accusing the brokerage firm of failing to supervise one of its former registered representatives, Timary Delorme, who is accused of engaging in a pump-and-dump fraud that harmed retail investors. [read post]
20 Apr 2014, 6:00 am
Securities and Exchange Commission. [read post]
9 May 2013, 6:27 am
Securities and Exchange Commission. [read post]
15 Sep 2015, 6:07 am
On September 8, 2015, the Securities and Exchange Commission (“SEC”) charged Ross Shapiro, Michael Gramins, and Tyler Peters with violating Section 10(b) of the Securities and Exchange Act of 1934, and Rule 10b-5 and Sections 17(a) of the Securities Act of 1933. [read post]
8 Nov 2019, 12:12 pm
Securities and Exchange Commission, No. 18-1501 (Cert. granted Nov. 1, 2019). [read post]
11 Feb 2016, 12:11 pm
On February 10, the Securities and Exchange Commission (the “SEC”) adopted rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act to regulate both U.S. and foreign dealers who engage in security-based swap dealing activities in the U.S. [read post]
8 Dec 2023, 6:31 am
Securities and Exchange Commission. [read post]
8 Dec 2023, 6:31 am
Securities and Exchange Commission. [read post]
1 Jan 2017, 4:37 pm
“Employee views on the Securities and Exchange Commission’s (SEC) organizational culture have generally improved since 2013. [read post]
24 Sep 2010, 5:54 pm
On Thursday, September 23rd, the New York Stock Exchange-sponsored commission on corporate governance issued a report that contained 10 core corporate governance principles. [read post]
12 Dec 2008, 8:21 am
The US Securities and Exchange Commission (SEC) [official website] charged [SEC press release] Madoff and his investment firm, Bernard L. [read post]
23 Jan 2020, 2:20 pm
The Securities and Exchange Commission today announced that it will host a March 10 conference to focus on municipal securities, which are predominantly owned by Main Street investors and help finance important public projects like schools, roads and…Read the Full Press ReleaseHave a securities law question? [read post]
22 May 2020, 6:09 am
The Securities and Exchange Commission today announced that it has rescheduled its conference entitled “Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices” for June 16, 2020. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
20 Jan 2023, 9:15 am
The Securities and Exchange Commission is seeking candidates for appointment to the Small Business Capital Formation Advisory Committee to provide advice and recommendations on Commission rules, regulations, and policy matters relating to small…Read the Full Press ReleaseHave a securities law question? [read post]
26 Jul 2023, 10:16 am
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the internet to register with the Commission. [read post]
26 Aug 2022, 11:05 am
The Securities and Exchange Commission today adopted two amendments to the rules governing its whistleblower program. [read post]
