Search for: "In Re Securities and Exchange Commission"
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12 Jun 2012, 6:19 pm
So you’re Judge Pohl. [read post]
8 Mar 2011, 8:12 am
Here is an excerpt from the article: Many companies have come to doubt the value of cooperating with the Securities and Exchange Commission by self-reporting possible violations of the securities laws. [read post]
20 Sep 2023, 5:52 am
FINRA works under the supervision of the Securities and Exchange Commission (SEC) and they write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
14 Jun 2012, 8:00 am
Sentencing Commission, former U.S. [read post]
30 Jul 2021, 12:32 pm
Securities and Exchange Commission (SEC) will not permit the public listing of Chinese companies without an explanation of their legal structure and the likelihood of the Chinese government involving itself in their operations, reports Reuters. [read post]
3 Nov 2023, 8:41 am
Keep in mind that if you’re converting the money into another currency, an exchange rate will apply as well. [read post]
11 Jun 2013, 5:00 am
Advocates for reform finally got their long awaited breakthrough last Wednesday, June 5, 2013, when the Securities and Exchange Commission voted unanimously to propose legislation that would reform money market funds. [read post]
21 Oct 2013, 10:30 am
Kohn (In re Herald, Primeo & Thema Sec. [read post]
18 Mar 2019, 11:17 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRAHennion & Walsh, Inc. [read post]
29 Nov 2017, 5:00 am
But “whistleblower” is defined elsewhere in Section 21F as “any individual who provides … information relating to a violation of the securities laws to the Commission, in a manner established, by rule or regulation, by the Commission. [read post]
22 Mar 2010, 1:30 pm
In the exchange below, Kampfner talks to Jameel Jaffer, the director of the ACLU National Security Project. [read post]
4 Apr 2012, 5:55 am
“We’re interested in understanding the ownership structure and history” of the firms, said Daniel Hawke, head of the Securities and Exchange Commission’s market abuse enforcement unit. [read post]
1 Oct 2013, 9:06 pm
The Securities and Exchange Commission hasn’t reached NAFI status yet, Greve writes, but not for want of trying. [read post]
8 Jun 2019, 7:05 pm
This was particularly so with respect to the role of the state in fostering a goal of national development that required a strong re-evaluation of economic and political arrangements that now appeared one sided (the America First project). [read post]
15 Jul 2015, 8:00 pm
The design must be agreed on by the Joint Commission, and the IAEA will monitor construction. [read post]
13 Dec 2021, 9:58 am
In other words, you can have your human right to privacy only if you’re willing and able to pay for it. [read post]
2 Nov 2021, 6:18 am
Securities & Exchange Commission and the International Financial Reporting Standards Foundation, a uniform global sustainability reporting framework seems unlikely to emerge in the near-term. [read post]
3 Jul 2010, 9:33 am
The Securities and Exchange Commission (SEC) will develop a solution for the conflicts of interest that currently exist and are partly responsible for the incorrect and deceptive ratings of the past. [read post]
10 May 2018, 3:33 pm
Julia Nestor for the United States and I’m here with Andrey Spektor from our office and Valerie Szczepanik from the Securities & Exchange Commission. [read post]
8 Oct 2016, 9:26 am
The Congressional-Executive Commission on China was created by the U.S. [read post]
