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26 Jul 2017, 7:00 am
., exchange listing requirements upon completion of a reverse-take over. [read post]
26 Sep 2020, 6:27 am
Securities and Exchange Commission. [read post]
17 Oct 2017, 2:15 am
Securities and Exchange Commission with stealing more than $1 million from clients. [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]
17 Apr 2014, 6:13 pm
Publicly Released: Apr 17, 2014: “Although the Securities and Exchange Commission (SEC) had implemented and made progress in strengthening information security controls, weaknesses limited their effectiveness in protecting the confidentiality, integrity, and availability of a key financial system. [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]
14 Oct 2008, 5:16 am
Securities and Exchange Commission, Office of Inspector General - SEC â [read post]
1 Jun 2009, 3:54 pm
Securities and Exchange Commission (SEC) Office of Inspector General â [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]
27 Apr 2011, 10:32 pm
Fact sheet: "The Securities and Exchange Commission voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and... [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]
30 Jul 2010, 4:30 pm
White Collar Watch examines the issues and problems that the Securities and Exchange Commission faces in its case against the billionaire Wyly brothers, who are accused of securities fraud and insider trading. [read post]
16 Apr 2010, 7:46 am
Goldman Sachs was accused of securities fraud in a civil suit filed Friday by the Securities and Exchange Commission, which claims the bank created and sold a mortgage investment that was secretly devised to fail. [read post]
14 Oct 2010, 10:42 pm
Talks over settling at least part of the securities fraud lawsuit filed by the Securities and Exchange Commission against three former executives of the Countrywide Financial Corporation have intensified, two people involved with the case said Thursday. [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]
21 Aug 2012, 11:57 am
The Securities and Exchange Commission is preparing to pay out its first award to a whistleblower under a new program designed to encourage people to report and provide evidence of potential securities frauds. [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]
24 Feb 2025, 12:33 pm
Jarkesy, the Securities and Exchange Commission brought legal action against George Jarkesy, seeking $300,000 in civil penalties for securities fraud. [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]
