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11 Feb 2010, 10:00 am
Securities and Exchange Commission (SEC) announced amendments to the proxy rules under the Securities Exchange Act of 1934 to require companies that have received TARP money to permit a shareholder advisory vote on executive compensation. [read post]
20 Jan 2023, 6:46 am
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
15 Mar 2007, 10:46 am
Related Web Resources: SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme, SEC.gov, March 7, 2007 Securities and Exchange Commission v. [read post]
5 Jan 2021, 3:00 am
Securities and Exchange Commission [read post]
21 Aug 2014, 6:06 am
Securities and Exchange Commission. [read post]
26 May 2017, 12:38 pm
Securities and Exchange Commission and reversed the Court of Appeals for the Tenth Circuit. [read post]
25 Feb 2012, 6:32 am
In a significant case for legal and compliance professionals at securities firms, the Securities and Exchange Commission (the “Commission”) recently dismissed enforcement proceedings against Theodore W. [read post]
6 May 2009, 11:41 am
As the report explains, The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role... [read post]
13 Jul 2009, 4:06 pm
The Securities and Exchange Commission released a Statement for the Record Before the House of Representatives Committee on Financial Services, Subcommittee on Oversight and Investigations, on July 13 in connection with the Subcommittee's hearing entitled, "Preventing Unfair Trading by Government... [read post]
14 Feb 2012, 11:51 am
On February 14, 2012, the Securities and Exchange Commission (SEC) filed a complaint against Brenda Esbach of Tustin, California charging her with numerous securities fraud violations. [read post]
16 Sep 2011, 5:00 am
Securities & Exchange Commission, 2011 U.S. [read post]
15 Jun 2016, 6:10 am
Securities and Exchange Commission. [read post]
5 Nov 2019, 11:35 am
Securities and Exchange Commission. [read post]
17 Sep 2009, 6:05 am
Securities and Exchange Commission (SEC)". [read post]
3 Apr 2017, 8:23 pm
Securities and Exchange Commission 16-906 Issues: (1) Whether Congress authorized federal district court jurisdiction over appointments clause challenges to Securities and Exchange Commission administrative law judges; and (2) whether SEC ALJs are inferior officers within the meaning of the appointments clause. [read post]
18 Jun 2023, 5:17 am
Securities and Exchange Commission Chair Gary Gensler’s regulation of crypto is an uneven mess; digital-coin exchanges get approved by the commission to go public, only to be sanctioned later for selling crypto the agency doesn’t like. [read post]
19 Oct 2009, 10:09 am
The Securities and Exchange Commission (SEC) recently fined a broker-dealer and investment adviser $100,000 for failing to protect the privacy of customer information. [read post]
5 Jan 2013, 6:28 am
Securities and Exchange Commission (“SEC”) issued a Wells Notice based on a social media communication. [read post]
15 Dec 2021, 8:06 am
The Securities and Exchange Commission today proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 to enhance disclosure requirements and investor protections against insider trading. [read post]
14 Jan 2014, 6:25 am
Securities and Exchange Commission. [read post]
