Search for: "In Re Securities and Exchange Commission"
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27 Jul 2015, 6:10 am
Lewis is accused of participating in some cases and in approving the sales, the Securities and Exchange Commission said. [read post]
3 Nov 2023, 8:41 am
Keep in mind that if you’re converting the money into another currency, an exchange rate will apply as well. [read post]
22 Mar 2010, 1:30 pm
In the exchange below, Kampfner talks to Jameel Jaffer, the director of the ACLU National Security Project. [read post]
18 Mar 2019, 11:17 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRAHennion & Walsh, Inc. [read post]
17 Dec 2020, 8:16 am
Where provision of anonymized or modified data would be insufficient, on-premise or remote re-use of the data within a secure processing environment could be permitted. [read post]
29 Nov 2017, 5:00 am
But “whistleblower” is defined elsewhere in Section 21F as “any individual who provides … information relating to a violation of the securities laws to the Commission, in a manner established, by rule or regulation, by the Commission. [read post]
4 Apr 2012, 5:55 am
“We’re interested in understanding the ownership structure and history” of the firms, said Daniel Hawke, head of the Securities and Exchange Commission’s market abuse enforcement unit. [read post]
1 Oct 2013, 9:06 pm
The Securities and Exchange Commission hasn’t reached NAFI status yet, Greve writes, but not for want of trying. [read post]
8 Jun 2019, 7:05 pm
This was particularly so with respect to the role of the state in fostering a goal of national development that required a strong re-evaluation of economic and political arrangements that now appeared one sided (the America First project). [read post]
15 Jul 2015, 8:00 pm
The design must be agreed on by the Joint Commission, and the IAEA will monitor construction. [read post]
8 Oct 2016, 9:26 am
The Congressional-Executive Commission on China was created by the U.S. [read post]
13 Dec 2021, 9:58 am
In other words, you can have your human right to privacy only if you’re willing and able to pay for it. [read post]
10 May 2018, 3:33 pm
Julia Nestor for the United States and I’m here with Andrey Spektor from our office and Valerie Szczepanik from the Securities & Exchange Commission. [read post]
2 Nov 2021, 6:18 am
Securities & Exchange Commission and the International Financial Reporting Standards Foundation, a uniform global sustainability reporting framework seems unlikely to emerge in the near-term. [read post]
3 Jul 2010, 9:33 am
The Securities and Exchange Commission (SEC) will develop a solution for the conflicts of interest that currently exist and are partly responsible for the incorrect and deceptive ratings of the past. [read post]
10 Nov 2010, 5:00 am
With Dodd-Frank‘s elimination of the 15 client exemption, thousands (my guess) of private fund managers will need to register with the Securities and Exchange Commission as investment advisers to their funds. [read post]
1 Dec 2014, 11:02 am
We have scored the exchanges as to how likely they will bridge the gap! [read post]
5 Aug 2008, 3:36 pm
The firm also disclosed Friday in a regulatory filing that it has received subpoenas or requests for information from the Securities and Exchange Commission, among others, in connection with its handling of auction-rate securities. [read post]
27 Sep 2011, 5:37 pm
The Federal Trade Commission, very active already in enforcing privacy rights, security obligations, and prohibitions against misleading advertising and marketing, has issued its initial staff report: Protecting Consumer Privacy in an Era of Rapid Change. [read post]
17 Aug 2016, 5:00 am
If you are Donald Lethen, as least according to the Securities and Exchange Commission, you could raise capital to do this and break a bunch of security laws in the process. [read post]
