Search for: "In Re Securities and Exchange Commission"
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8 May 2022, 9:01 pm
In the very first line of that bill, it said they were “amend[ing] the Securities Exchange Act of 1934 to remove barriers to competition. [read post]
21 Feb 2019, 2:04 pm
Also, Philadelphia said that the Securities and Exchange Commission has already reached out to four of the banks over the claims. [read post]
9 Oct 2012, 3:53 pm
According to Commodity Futures Trading Commission Bart Chilton, the financial system needs to undergo a “cultural shift” that should include employing a risk-based compensation structure instead of one that is “purely profit-based. [read post]
4 Jul 2024, 9:01 pm
This statement was issued on July 1, 2024, by Gary Gensler, chair of the U.S Securities and Exchange Commission, in Washington, D.C. [read post]
3 Oct 2022, 10:47 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings to retirees and other retail investors. [read post]
27 Apr 2020, 9:11 am
The Securities and Exchange Commission (SEC) filed a complaint with the U.S. [read post]
6 Sep 2023, 9:01 pm
The CAT funding model we are considering is the product of the CAT LLC, the decisions of which are made by an operating committee consisting of members appointed by each of the self-regulatory organizations (“SROs”)—national securities exchanges and FINRA—who are participants in the CAT NMS Plan (“plan participants”). [read post]
11 Feb 2020, 11:53 am
Rather, they’re arguing that EARN IT will hurt end-to-end encryption. [read post]
26 Jan 2022, 9:34 am
U.S. securities records are on a service called EDGAR, maintained by the Securities and Exchange Commission. [read post]
15 Jul 2007, 5:15 am
The Securities and Exchange Commission's Office of Internet Enforcement has discovered several fraudsters operating blogs on the Web. [read post]
12 Jan 2010, 1:02 pm
Barnier will re-examine the MiFID Directive. [read post]
8 Jul 2010, 7:00 am
In this, you’re not alone. [read post]
3 Sep 2017, 1:33 pm
Immigration and Customs Enforcement (ICE) for using a false social security number. [read post]
24 Jan 2012, 3:52 pm
The purpose of the Massachusetts amendments is to coordinate with the new rule adopted by the Securities and Exchange Commission under the Dodd-Frank Act. [read post]
11 Jul 2011, 8:50 am
In the company's S-1 filing to the Security and Exchange Commission, Zynga provides an unvarnished view of the privacy landscape and the challenges it creates for a newly minted public company. [read post]
8 Aug 2008, 5:09 pm
" They're right. [read post]
7 Mar 2024, 3:20 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC),” said Stephen M. [read post]
21 May 2015, 5:00 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) might not watch over the galaxy, but both agencies carefully monitor and scrutinize the conduct of CCOs and in-house counsel. [read post]
25 Apr 2023, 8:47 am
Nick and Brian then discuss the Securities and Exchange Commission’s complaint against Bittrex and what it could portend for others in the crypto space and, more broadly, the future of crypto regulation and enforcement in the U.S. [read post]
21 Feb 2014, 9:00 am
In any event, we always take shelter from the storms, the cold, and the heat by digging into our Inbox of interesting developments in executive employment disputes and the issues that surround them, including: The Securities and Exchange Commission has filed an amicus brief in the Second Circuit, arguing that its interpretation of a “whistleblower” under Dodd-Frank – essentially an employee who reports wrongdoing either internally or to… [read post]
