Search for: "Securities and Exchange Commission"
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30 Jun 2020, 11:20 am
Court of Appeals for the District of Columbia Circuit held that the Securities and Exchange Commission (“SEC”) lacks the authority to administer a two-year pilot program designed to review the fees and rebate structure used by U.S. stock exchanges. [read post]
7 Jun 2023, 9:01 pm
Securities and Exchange Commission. [read post]
30 Sep 2020, 12:09 pm
The Securities and Exchange Commission today announced awards to four individuals for total payments of almost $5 million. [read post]
29 Oct 2020, 11:09 am
The Securities and Exchange Commission today announced that Raquel Fox, Director of the Office of International Affairs, will leave the agency in November. [read post]
24 Oct 2019, 6:54 am
The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC) today announced joining the Global Financial Innovation…Read the Full Press ReleaseHave a securities law question? [read post]
10 Aug 2007, 3:47 am
Campos, a member of the Securities and Exchange Commission who sparred with agency Republicans over how best to penalize companies for securities law violations, will depart in a month for the private sector, the commission said Thursday. [read post]
17 Mar 2021, 8:06 am
The Securities and Exchange Commission today released the agenda for the March 19 meeting of the Asset Management Advisory Committee (AMAC). [read post]
4 Sep 2019, 2:09 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in penalties to settle charges that it failed to implement…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
5 May 2020, 10:57 am
The Securities and Exchange Commission announced that it is premiering new multimedia resources to support teachers in connection with Teacher Appreciation Week. [read post]
17 Sep 2019, 10:40 am
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
17 Sep 2019, 1:20 pm
The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors, and eliminate disclosures that overlap with Commission rules, U.S. [read post]
11 Sep 2020, 12:09 pm
The Securities and Exchange Commission today released the agenda for the September 16, 2020, meeting of the Asset Management Advisory Committee (AMAC). [read post]
9 Oct 2019, 11:05 am
The Securities and Exchange Commission today announced the formation of its Asset Management Advisory Committee. [read post]
8 Jul 2020, 1:09 pm
The Securities and Exchange Commission today released the agenda for the virtual July 16 special meeting of the Asset Management Advisory Committee (AMAC). [read post]
7 Jan 2016, 10:06 am
The Securities and Exchange Commission today announced that starting on Feb. 16, 2016, the fee rates applicable to most securities transactions will be set at $21.80 per million dollars. [read post]
9 Mar 2010, 10:48 am
On March 4, 2010, the Securities and Exchange Commission filed a civil fraud lawsuit against nationally recognized psychic Sean David Morton and three companies he owns under the name Delphi Associates Investment Group (andquot;Delphiandquot;). [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
17 Feb 2009, 2:47 pm
News release: "he Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies for orchestrating a... [read post]
17 Jun 2010, 6:03 am
Inphi Corporation, the semiconductor provider, has filed with the Securities and Exchange Commission for an initial public offering, the company announced Thursday. [read post]
