Search for: "In Re Securities and Exchange Commission"
Results 941 - 960
of 2,832
Sorted by Relevance
|
Sort by Date
18 Jul 2007, 9:09 am
Melton, Esq., lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com Earlier this week the Securities Exchange Commission exposed a $45 million ponzi-like scheme conducted out of California. [read post]
23 Mar 2023, 7:34 am
Dodd-Frank mandated that the Securities and Exchange Commission (“SEC”) create rules within 270 days of the Act’s passage to prohibit transactions with “certain material conflicts of interest” for asset-backed securities (“ABS”). [read post]
7 Dec 2010, 6:33 am
Securities and Exchange Commission (SEC) has only allowed the agency the reach to prosecute the most flagrant abuses of securities laws. [read post]
30 Jun 2011, 10:00 am
The government says it’s not done yet or as the Securities and Exchange Commission’s enforcement chief, Robert Khuzami, said recently, his agency is in period of historic insider-trading enforcement. [read post]
18 Mar 2011, 3:21 am
Section 13(o) said that "[f]or purposes of this section and section 16, a person shall be deemed to acquire beneficial ownership of an equity security based on the purchase or sale of a security-based swap, only to the extent that the Commission, by rule, determines after consultation with the prudential regulators and the Secretary of the Treasury, that the purchase or sale of the security-based swap, or class of security-based swap, provides… [read post]
30 Nov 2007, 5:15 am
” See Roundtable Discussion on Proxy Voting, Securities and Exchange Commission, Thursday, May 24, 2007, (Statement by Lydia Beebe, corporate secretary, Chevron Corporation). [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Capital requirements, Financial institutions, Financial regulation, Liquidity, Proprietary trading, Securities regulation, Volcker Rule [read post]
2 Sep 2022, 2:15 pm
Most are illiquid, and because they’re not traded on an exchange, you’ll have to hold them indefinitely. [read post]
1 Mar 2023, 7:55 am
Jake: Let me first say that crypto is not regulated by the Securities Exchange Commission or the Commodities Futures Trading Commission like a stock or a commodity would be. [read post]
16 Feb 2021, 2:23 pm
San Mateo Sept. 1, 2020), In re Uber Tech. [read post]
15 Feb 2018, 1:41 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
26 Mar 2012, 5:00 am
My analysis of when fund managers need to register with the Securities and Exchange Commission has me focused on the composition of a company’s assets. [read post]
30 Oct 2017, 8:00 am
” The move opens the door for Congress to consider re-imposing nuclear-related sanctions. [read post]
30 Aug 2022, 5:01 am
On March 9, the Securities and Exchange Commission (SEC) proposed a new rule intended to enhance and standardize disclosure requirements for cybersecurity risks. [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
26 Jan 2018, 5:50 am
The sanctions were based on findings that Vungarala willfully violated Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010 by making materially false and misleading statements to conceal his commissions on investments made by a Native American tribe he was employed by to manage its investment portfolio. [read post]
14 May 2012, 12:59 pm
The Securities and Exchange Commission May 9 sued Deloitte Touche Tohmatsu’s Shanghai affiliate for allegedly “willfully” failing to provide documents to the agency regarding a client under SEC investigation (In re Deloitte Touche Tohmatsu CPA Ltd., SEC, Admin. [read post]
9 Sep 2011, 11:42 am
The Securities and Exchange Commission Aug. 31 voted unanimously to issue a concept release soliciting public comments on issues raised by mutual funds, exchange-traded funds, and other investment companies’ use of derivatives. [read post]
16 Nov 2018, 12:41 pm
(CRD #130116, Minnetonka, Minnesota)The firm was censured, fined $5,000, and required to submit a certification to FINRA that the firm has enhanced its supervisory system, including its WSPs, to ensure it obtains customer account information, in accordance with Securities and Exchange Commission (SEC) Rule 17a-3(a)(17). [read post]
18 Mar 2018, 9:00 am
The decline comes days after a senior official from the Securities and Exchange Commission acknowledged that the agency had "dozens" of open investigations into initial coin offerings. [read post]
