Search for: "Securities and Exchange Commission"
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26 Jul 2017, 7:00 am
., exchange listing requirements upon completion of a reverse-take over. [read post]
21 Feb 2012, 6:33 am
Securities & Exchange Commission (10-429, 2nd Circuit, February 14, 2012), Petitioner Scott Mathis sought the review of a Securities and Exchange Commission (? [read post]
21 Aug 2008, 1:31 pm
UBS recently agreed to buy back $18.6B in auction rate securities (ARS) and pay $150M in penalties ($75M to the State of New York, and $75M to the North American Securities Administrators Association) to settle allegations made by the New York Attorney General and the Securities and Exchange Commission that UBS fraudulently marketed the safety of ARS to customers.On July 24, 2008, the New York Attorney General filed suit against UBS for fraud and false… [read post]
7 Oct 2022, 11:40 am
The Securities and Exchange Commission today reopened the public comment periods for 11 Commission rulemaking releases and one request for comment due to a technological error that resulted in a number of public comments submitted through the Commission’…Read the Full Press ReleaseHave a securities law question? [read post]
28 Jun 2024, 12:15 am
Yesterday, the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh Amendment to the U.S. [read post]
31 Jul 2020, 4:00 am
Zipper) appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
6 Jun 2008, 1:35 pm
Part of his New Deal legislation to regulate the markets, the Act founded the Securities and Exchange Commission and put curbs on indiscriminate or criminal trading by brokers. [read post]
3 Jul 2015, 6:01 am
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities listed on U.S. stock exchanges to adopt and enforce clawback policies applicable to incentive-based compensation received by current and former executives in the three-year period preceding the date the issuer is required to prepare an accounting restatement due to material noncompliance with financial reporting requirements. [read post]
16 Oct 2012, 9:30 pm
Talk of a securities market “kill switch” dominated discussions in a recent Securities and Exchange Commission (SEC) Market Technology Roundtable. [read post]
7 Oct 2020, 5:50 am
Securities and Exchange Commission (SEC) enforcement actions involving unregistered securities offerings. [read post]
13 Jun 2018, 1:11 pm
Facts of the Case A case was filed with the Securities and Exchange Commission due to DeVere USA, Inc. [read post]
9 Aug 2012, 7:17 am
Goldman Sachs disclosed in a securities filing that an investigation into a $1.3 billion subprime mortgage deal in 2006 has ended without any enforcement action by the Securities and Exchange Commission. [read post]
26 Jul 2010, 9:32 am
White Collar Watch examines how the Dodd-Frank Act, now law, enables the Securities and Exchange Commission to encourage whistle-blowers who reveal a broad array of securities fraud. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
27 Jun 2024, 7:00 am
The Supreme Court stripped the Securities and Exchange Commission of a major tool in fighting securities fraud. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
19 Apr 2010, 10:49 am
Fabrice Tourre, the 31-year-old Goldman Sachs vice president cited by the Securities and Exchange Commission in their accusation of securities fraud against the bank, followed a beaten path from the French grandes ecoles to Wall Street. [read post]
17 Apr 2010, 12:21 pm
Paulson has found himself in an uncomfortable spotlight even though the Securities and Exchange Commission did not charge him along with Goldman Sachs with securities fraud. [read post]
