Search for: "Securities and Exchange Commission"
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20 Dec 2024, 8:06 am
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D. [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]
11 Jul 2019, 6:26 am
Securities and Exchange Commission. [read post]
29 Mar 2011, 6:43 pm
However, as Woolner points, not all defendants of US Securities and Exchange Commission cases are also charged in criminal court over the alleged securities fraud. [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]
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]
24 Sep 2011, 5:55 am
Securities and Exchange Commission. [read post]
14 Aug 2014, 2:21 pm
Pollard and Tod Perry have posted 'Grade Incomplete': Examining the Securities and Exchange Commission’s Attempt to Implement Credit Rating and Certain Corporate Governance Reforms of Dodd-Frank on SSRN with the following abstract: Following the financial crisis of 2007-2009,... [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]
30 Jun 2014, 2:34 pm
The press release states: The Securities and Exchange Commission today announced that two new judges and three new attorneys will join the Office of Administrative Law Judges... [read post]
20 Jul 2010, 12:12 pm
Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises on... [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]
2 Sep 2009, 2:20 pm
The SEC released today the REPORT OF INVESTIGATION, UNITED STATES SECURITIES AND EXCHANGE COMMISSION OFFICE OF INSPECTOR GENERAL, Case No. [read post]
28 Jul 2009, 2:23 pm
The Securities and Exchange Commission today filed two settled enforcement proceedings against Avery Dennison Corporation (Avery), a Pasadena, California-based multinational corporation, alleging violations of the Foreign Corrupt Practices Act (FCPA) in connection with improper payments and promises of improper payments... [read post]
16 Nov 2011, 12:49 pm
The GAO posted on its website a report, Financial Audit: Securities and Exchange Commission's Financial Statements for Fiscal Years 2011 and 2010 (GAO-12-219 November 15, 2011). [read post]
