Search for: "International Securities Exchange"
Results 1021 - 1040
of 10,726
Sorted by Relevance
|
Sort by Date
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]
31 Aug 2011, 6:49 am
The BATS trading platforms are internally developed by a dedicated team of market and technology professionals with BATS Exchange (BZX), the third-largest US securities exchange, capturing 10% US equities market share in just four years. [read post]
29 Apr 2013, 5:30 am
Securities and Exchange Commission Speech, Keynote Address at the ALI-ABA Compliance Conference, Andrew J. [read post]
29 Apr 2013, 5:30 am
Securities and Exchange Commission Speech, Keynote Address at the ALI-ABA Compliance Conference, Andrew J. [read post]
12 Nov 2013, 7:50 am
The SEC has also proposed an amendment to Section 12(g) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), to exempt securities sold in a crowdfunding transaction from counting towards the number of shareholders that would require SEC issuer registration. [read post]
15 Mar 2012, 9:01 am
The United States and United Kingdom enjoy a model international partnership, as authorities including the U.S. [read post]
13 Jul 2007, 12:53 am
Instead, Mobile Gateway uses Microsoft's secure Outlook Web Access (OWA) to retrieve email from the corporate Exchange server, a service enabled by many enterprises to provide users with access to corporate email from home or while traveling. [read post]
18 Feb 2021, 8:50 pm
Commission Delegated Regulation (EU) 2016/2251 implements the international framework for the exchange of collateral that has been agreed at the global level by the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO). [read post]
25 Jun 2007, 8:18 am
All five commissioners of the Securities and Exchange Commission will appear at a committee hearing in the House of Representatives. [read post]
29 Sep 2016, 12:44 pm
The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because he reported to senior management and the SEC that the company's financial statements might be distorted. [read post]
13 Feb 2018, 8:30 am
McCoy have published an article about the recent release by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations of its 2018 examination priorities, an annual report outlining the areas of the securities industry its examiners will target. [read post]
18 Dec 2006, 12:29 pm
What the Court Said: · Collateral estoppel bars Steeples from litigating the 1933 Securities Act Section 17(a) securities fraud claim and the SEC's 1934 Securities Exchange Act Section 10(b). [read post]
8 Mar 2022, 5:00 am
For example, antitrust enforcement actions targeting vertical defense-sector mergers that threaten anticompetitive input foreclosure or facilitate anticompetitive information exchanges are in line with the national-security goal of preserving vibrant markets that offer the federal government competitive, high-quality, innovative, and reasonably priced purchase options for its defense needs. [read post]
20 Apr 2010, 7:58 am
o Will bilateral, plurilateral, and/or multilateral agreements exchange Seventh Freedom and cabotage rights, and allow foreign ownership? [read post]
3 Nov 2011, 11:43 am
The Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant to evaluate and recommend improvements to FINRA's compliance policies, procedures and staff training regarding the integrity of documents produced to the SEC. [read post]
12 Jan 2016, 1:10 pm
It is equally important to have internal compliance programs evaluated regularly. [read post]
17 Feb 2009, 11:15 am
These activities violated the anti-fraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisors Act, and the registration provisions of the Investment Company Act, according to the SEC. [read post]
13 Jan 2011, 11:45 pm
Paul Kelley's name in any Securities and Exchange Commission filings. [read post]
31 May 2024, 6:06 am
Recent protests in Armenia demonstrate that this territorial exchange is very unpopular with the Armenian people and that the issue remains live and concerning. [read post]
23 May 2018, 8:11 am
The Securities and Exchange Commission building, located in Washington, D.C.Members of Congress are urging the Securities Exchange Commission (SEC) to investigate the illegal trafficking of wildlife on Facebook. [read post]
