Search for: "International Securities Exchange"
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10 May 2018, 6:53 pm
As political and economic relations expand and social and cultural exchanges grow in the region, local interests and concerns become more intricately intertwined with international, transnational, and regional interests and concerns, which deepens the complexity in Asia. [read post]
9 Jun 2011, 5:13 pm
SIFMA believes that a consistent, broad definition should be provided for this phrase for all relevant purposes under FATCA, and suggests that the definition should be based on the existing definition provided for publicly traded partnership purposes in existing Treasury regulations.Utilizing this definition, an instrument should be treated as regularly traded on an established securities market if either the instrument is traded on an established securities market, within the… [read post]
5 Mar 2010, 11:31 am
There are a number of other exclusions AB 2640 would eliminate, including the exclusion of gain on transfers between spouses when they are divorcing, non-recognition provisions that apply if property is destroyed or condemned and other provisions that relate to exchanges of insurance policies and corporate securities. [read post]
18 Dec 2014, 9:29 am
Have you suffered losses investing in Energy Sector Exchange-Traded Funds (“ETFs”)? [read post]
1 Sep 2008, 3:52 pm
The Securities and Exchange Commission says it has reached a preliminary settlement agreement with Merrill Lynch, Pierce, Fenner & Smith to liquidate about $8.5 billion in auction-rate securities that are still held by the firm's institutional and retail investors. [read post]
12 Nov 2020, 7:28 am
Securities and Exchange Commission (SEC) announced settled charges against Fiat Chrysler Automobiles N.V., a London-based public company that sells vehicles through its Michigan-based subsidiary. [read post]
6 Nov 2008, 6:59 pm
Securities and Exchange Commission voted unanimously to issue a proposed roadmap for the potential transition by U.S. issuers from U.S. [read post]
6 Mar 2016, 2:07 pm
Your Social Security Number – or just the last few digits – will also be on the form. [read post]
8 Nov 2012, 1:38 pm
The Securities and Exchange Commission has filed charges against hedge fund manager Walter A. [read post]
7 May 2012, 12:29 pm
Securities and Exchange Commission enforcement actions. [read post]
7 Mar 2011, 12:25 pm
The Securities and Exchange Commission faces a “capacity gap,” according to a Bloomberg report citing a consultant’s internal review. [read post]
17 Nov 2010, 7:24 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission are working to administer a new whistleblower rule that could provide lottery-sized payouts to informants that provide valuable information in a successful case of securities law violation. [read post]
4 May 2007, 9:28 am
Securities and Exchange Commission ING Investment Management [read post]
11 Dec 2018, 7:22 am
He is also the subject of a parallel civil fraud cause brought by the US Securities and Exchange Commission. [read post]
27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
9 Mar 2011, 6:05 pm
A few weeks ago the Securities and Exchange Commission (SEC) obtained an injunction and a small fine against Michael Pattison in an options backdating action. [read post]
8 Oct 2018, 4:56 pm
International companies that transact with US investors cannot circumvent compliance with the federal securities laws by using cryptocurrency. [read post]
14 Apr 2016, 1:54 pm
” The statutory requirements underlying ICFR are found primarily in Section 13 of the Securities Exchange Act of 1934 (and the rules promulgated thereunder). [read post]
21 Jul 2010, 11:50 am
The Securities and Exchange Commission announced that Goldman, Sachs & Co. will pay $550 million and reform its business practices to settle SEC charges that Goldman misled investors in a subprime mortgage product. [read post]
1 Apr 2013, 12:51 am
Chaffee observed, the International Organization of Securities Commission, formed in 1983, “is unable to achieve the harmonization and centralization necessary to regulate the emerging global capital markets. [read post]
