Search for: "Securities and Exchange Commission"
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17 Feb 2023, 8:35 am
The Securities and Exchange Commission today announced charges against former NBA player Paul Pierce for touting EMAX tokens, crypto asset securities offered and sold by EthereumMax, on social media without disclosing the payment he received for the…Read the Full Press ReleaseHave a securities law question? [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
14 Nov 2006, 5:12 am
Google, Yahoo and other Internet companies are asking the Securities and Exchange Commission to review fees that stock exchanges in the United States charge for market data, challenging a major source of income at the exchanges. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
4 May 2010, 10:08 pm
Slovak has agreed to pay $25,000 to resolve Securities and Exchange Commission charges that she committed Texas securities fraud. [read post]
16 Apr 2010, 11:17 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed a civil suit [complaint, PDF] on Friday alleging securities fraud against Goldman, Sachs & Co. [read post]
4 Sep 2008, 5:31 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] has charged [complaint, PDF] two former brokers for Credit-Suisse [corporate website; JURIST news archive] with defrauding clients of $1 billion by selling subprime securities that they represented as being backed by government-guaranteed student loans. [read post]
25 Jan 2010, 3:42 pm
Cook jailed for failing to surrender more than $35 million in assets as a result of the Securities and Exchange Commission's fraud charges and asset freeze against him. [read post]
11 Aug 2011, 2:38 pm
Securities and Exchange Commission (Aug. 11, 2011): Issue Number 1:The Whistleblower program will bolster, not hamper, the internal compliance systems at companies across the country.... [read post]
30 Sep 2010, 12:57 pm
Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing, and Urban Affairs on September... [read post]
9 Dec 2010, 2:10 pm
The SEC released the agenda for its December 15, 2010 Open Meeting: The Commission will consider whether to propose rule 3Cg-1 under the Exchange Act governing the exception to mandatory clearing of security-based swaps under Section 763(a) of the Dodd-Frank... [read post]
22 Jul 2017, 5:55 am
President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange Commission, the White House... [read post]
9 Jun 2011, 3:51 pm
The SEC announced several forthcoming Open Meetings: Wednesday, June 15, 2011 The Commission will consider whether to propose amendments to Rule 17a-5 – the broker-dealer reporting rule – under the Securities Exchange Act of 1934. [read post]
8 Mar 2011, 12:31 pm
The House Financial Services Capital Markets Subcommittee will hold a hearing on March 10 on “Oversight of the Securities and Exchange Commission’s Operations, Activities, Challenges and FY 2012 Budget Request,” at which the directors of the agency's five divisions will... [read post]
12 Jul 2011, 1:47 pm
The GAO recently released a report on SECURITIES AND EXCHANGE COMMISSION Existing Post-Employment Controls Could Be Further Strengthened. [read post]
24 Jun 2009, 2:47 pm
The SEC has several important issues on its July 1 meeting agenda: Item 1: The Commission will consider whether to propose amendments to the proxy rules under the Securities Exchange Act of 1934 to set forth requirements for U.S. registrants... [read post]
