Search for: "US Securities and Exchange Commission"
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7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
4 Feb 2013, 5:00 am
Back in 1973 The Securities and Exchange Commission issued a release describing situations where a real estate offering could become a securities offering. [read post]
7 Jun 2023, 9:01 pm
Securities and Exchange Commission. [read post]
13 Feb 2008, 9:40 pm
[JURIST] A European Commission [official website] official on Wednesday sharply criticized as "unacceptable" American attempts to negotiate with newer EU member states, reportedly offering to allow visa-free travel in exchange for extra air passenger data. [read post]
9 Sep 2023, 8:10 am
The Securities and Exchange Commission has announced an important settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered in Lincoln, Nebraska, for using employee separation agreements that violated the SEC’s whistleblower protection rules. [read post]
21 Jan 2009, 9:33 am
Related Web Resources: Jefferson County, Alabama About Municipal Bonds, SIFMA US Representative Spencer Bachus US Securities and Exchange Commission [read post]
21 Feb 2010, 9:10 am
On February 9, 2010, the Securities and Exchange Commission filed a complaint against two individuals for violations of the Securties Exchange Act of 1934 alleging that: From approximately January 2005 until March 2007, the Defendants spearheaded a sophisticated scheme to defraud the banks and their depositors by secretly using relatives as nominees to acquire stock in those conversions in contravention of the offering terms and applicable banking… [read post]
26 Apr 2017, 7:02 am
Is available here and begins: Disgorgement of ill-gotten gains long has been a basic tool in the Securities and Exchange Commission’s (SEC) penalty toolkit, despite a paucity of statutory... [[ This is a content summary only. [read post]
22 Nov 2011, 7:20 pm
The Securities and Exchange Commission (the "Commission") initiated civil proceedings against a former hip-hop promoter who orchestrated a Ponzi scheme that bilked investors out of $5 million. [read post]
24 Jun 2009, 10:05 am
The Securities and Exchange Commission is suing Beverly Hills money manager Stanley Chais for securities fraud related to his alleged involvement in the Bernard Madoff Ponzi scam. [read post]
1 Aug 2012, 1:30 pm
As a result of the Walmart scandal, a number of retail companies have self-reported potential corruption issues to the US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC). [read post]
9 Nov 2011, 8:48 pm
Yesterday, the US Securities and Exchange Commission approved rule changes requested by the three major US stock exchanges, Nasdaq, the NYSE Amex and the New York Stock Exchange. [read post]
27 Jun 2018, 6:05 am
Securities and Exchange Commission, it’s clear that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the United States” under the Appointments Clause of the US Constitution. [read post]
7 Oct 2010, 2:19 pm
According to a Securities and Exchange Commission (SEC) press release, the SEC has charged Barbra Alexander along with two other executives at APS Funding with misappropriating $2.5 million in investor funds. [read post]
25 Nov 2019, 2:01 pm
On Friday, November 15, 2019 The Securities and Exchange Commission (SEC) announced that a whistleblower award of more than $260,000 had been given to three people who jointly alerted the agency to a “well-concealed fraud targeting retail investors. [read post]
29 Aug 2017, 7:13 pm
On 25 August 2017, the Securities and Futures Commission (SFC) and the Hong Kong Police (HKP) signed a memorandum of understanding (MoU) to formalise and strengthen the parties’ co-operation in combating financial crime. [read post]
