Search for: "Securities and Exchange Commission" Results 821 - 840 of 22,154
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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]
25 Feb 2022, 8:15 am by Mark Astarita
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 by Mark Astarita
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 by Mark Astarita
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]
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]
30 Jan 2023, 12:57 pm by Mark Astarita
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
26 Aug 2024, 11:01 am by Mark Astarita
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]
7 Sep 2023, 2:35 pm by Mark Astarita
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]
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]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)... [read post]
3 Mar 2025, 3:20 pm by Mark Astarita
The Securities and Exchange Commission today announced that its Crypto Task Force will host a series of roundtables to discuss key areas of interest in the regulation of crypto assets. [read post]
12 Jul 2012, 11:03 am by Mike Scarcella
Securities and Exchange Commission through disguised transactions and insider trading that involved a foreign company. [read post]
7 Aug 2012, 9:56 pm by InvestorLawyers
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 by InvestorLawyers
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 by InvestorLawyers
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]
1 Oct 2019, 11:20 am by Michael L. Lynch
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
15 Sep 2022, 6:30 am by Iorio Altamirano
On September 14, 2022, Western International Securities, Inc. filed its Answer to the Securities and Exchange Commission’s Complaint denying that the firm violated the standards under Regulation Best Interest (“Reg BI”) in approving, recommending, and supervising the sale of speculative, high-risk, and illiquid L Bonds issued by GWG Holdings, Inc. [read post]