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22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
7 Feb 2013, 11:27 am
Among other things, national authorities will be required to exchange information and best practices between themselves and the Commission within a new “cooperation network”, and circulate early warnings on security risks and incidents affecting network and information systems. [read post]
29 May 2009, 3:15 am
[JURIST] The Securities and Exchange Commission (SEC) [official website] on Thursday charged 10 brokers [complaint, PDF; press release] with fraud for misleading customers into investing in high-risk mortgage securities. [read post]
26 Aug 2024, 11:01 am
The Securities and Exchange Commission today filed settled charges against Plutus Lending LLC, which does business as Abra, for failing to register the offers and sales of its retail crypto asset lending product, Abra Earn. [read post]
9 Aug 2008, 5:43 am
[corporate website] disclosed Friday in its quarterly report [text; materials] that the Securities and Exchange Commission (SEC) [official website] is investigating possible breaches of procedure by one of the bank's subsidiaries in auction-rate securities sales and purchases. [read post]
7 Sep 2023, 2:35 pm
The Securities and Exchange Commission today announced settled charges against Linus Financial, Inc. for failing to register the offers and sales of its retail crypto lending product, the Linus Interest Accounts. [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)... [read post]
30 Jan 2023, 12:57 pm
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
12 Jul 2012, 11:03 am
Securities and Exchange Commission through disguised transactions and insider trading that involved a foreign company. [read post]
25 Feb 2022, 8:15 am
The Securities and Exchange Commission today announced that it has voted to propose changes that would provide greater transparency to investors and regulators by increasing the public availability of short sale related data. [read post]
22 Feb 2022, 1:35 pm
The Securities and Exchange Commission today announced settled charges and an $18 million penalty against Baxter International Inc. for engaging in improper intra-company foreign exchange transactions that resulted in the misstatement of the company’s…Read the Full Press ReleaseHave a securities law question? [read post]
10 Feb 2022, 10:05 am
The Securities and Exchange Commission today announced that it proposed rule amendments governing beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
