Search for: "In Re Securities and Exchange Commission"
Results 981 - 1000
of 2,832
Sorted by Relevance
|
Sort by Date
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
26 Apr 2022, 9:01 pm
They’re incredibly important — to individuals, companies, and governments in the U.S. and around the world. [read post]
20 Aug 2012, 6:05 pm
”Kenneth Bell, Court-appointed Receiver of ZeekRewardsThe Securities and Exchange Commission ("SEC")'s shutdown of ZeekRewards last Friday left many of the estimated one million victims shocked and confused, with many still refusing to believe that they had fallen victim to one of the largest Ponzi schemes in history. [read post]
29 Sep 2023, 2:13 pm
Considered by many as the easiest digital nomad visa to secure in all of Asia, Malaysia boasts both affordability and a reputation as one of the top expat-friendly countries globally. [read post]
5 Dec 2018, 3:00 am
” But the path to compliance isn’t easy – and includes registering the securities under the Exchange Act. [read post]
9 Apr 2010, 5:00 am
Staffer One Day, Opponent the Next by Tom McGinty in the Wall Street Journal The revolving door can turn swiftly at the Securities and Exchange Commission. [read post]
25 Sep 2009, 7:54 am
Securities and Exchange Commission staff made it clear that they believe that they have ample evidence of price-fixing and bid-rigging of municipal derivatives by JP Morgan, Bear Stearns Cos., Bank of America NA and UBS. [read post]
27 Aug 2009, 7:35 am
" The Securities and Exchange Commission reached the settlement with the bank last month. [read post]
29 Apr 2011, 5:00 am
” Whistleblower Rules May Not Be Ready Until Summer by Joe Palazzolo in WSJ.com’s Corruption Currents After missing an April deadline, the Securities and Exchange Commission said it now expects to finalize rules for its whistleblower program by July, reports Dow Jones’ Jessica Holzer. [read post]
9 Aug 2022, 5:19 am
In its announcement, PredictIt said the “security of trader funds” is not affected by the action. [read post]
12 Jun 2012, 6:19 pm
So you’re Judge Pohl. [read post]
11 Aug 2009, 5:39 pm
District Judge Richard Sullivan surprised both sides by ordering DiPascali jailed immediately -- a rarity for a cooperator in a white-collar case who had pleaded guilty.Sullivan said he felt compelled to keep 52-year-old DiPascali locked up after hearing the defendant admit that, at Madoff's direction, he lied to the Securities and Exchange Commission in 2006 when he thought they might discover the fraud. [read post]
20 Sep 2023, 5:52 am
FINRA works under the supervision of the Securities and Exchange Commission (SEC) and they write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
8 Mar 2011, 8:12 am
Here is an excerpt from the article: Many companies have come to doubt the value of cooperating with the Securities and Exchange Commission by self-reporting possible violations of the securities laws. [read post]
9 Dec 2015, 3:00 am
In September it agreed to pay a $75,000 fine and be censured to settle Securities & Exchange Commission charges that it failed to safeguard clients’ personal data. [read post]
14 Jun 2012, 8:00 am
Sentencing Commission, former U.S. [read post]
11 Jun 2013, 5:00 am
Advocates for reform finally got their long awaited breakthrough last Wednesday, June 5, 2013, when the Securities and Exchange Commission voted unanimously to propose legislation that would reform money market funds. [read post]
17 Oct 2007, 1:08 am
Securities and Exchange Commission v. [read post]
30 Jul 2021, 12:32 pm
Securities and Exchange Commission (SEC) will not permit the public listing of Chinese companies without an explanation of their legal structure and the likelihood of the Chinese government involving itself in their operations, reports Reuters. [read post]
21 Oct 2013, 10:30 am
Kohn (In re Herald, Primeo & Thema Sec. [read post]
