Search for: "In Re Securities and Exchange Commission"
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18 Apr 2019, 3:00 am
Securities and Exchange Commission level, with certain institutional investors agitating for additional ESG disclosure requirements. [read post]
15 Apr 2019, 8:05 am
The Securities and Exchange Commission today announced that Sara Cortes and David P. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
8 Apr 2019, 1:41 pm
We’ve seen a proliferation of content delivery networks like Cloudflare anonymizing providers under the pretense of security. [read post]
8 Apr 2019, 8:26 am
The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of their financial future. [read post]
2 Apr 2019, 9:00 pm
Financial institutions that rely on the UK regime could therefore find themselves unable to fund or participate in some loans and take security if the UK is no longer recognised as a participant to the passporting regime by the relevant EEA state. [read post]
2 Apr 2019, 6:50 am
Cyberspace is not a “No Law Land”. [read post]
1 Apr 2019, 10:29 am
See Securities & Exchange Comm. v. [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
28 Mar 2019, 10:25 pm
Securities and Exchange Commission rule may still be found liable for employing “any device, scheme, or artifice to defraud” or engaging in any practice that operates “as a fraud or deceit. [read post]
27 Mar 2019, 8:43 am
Whereas the FCA’s powers to take action under FSMA typically only apply to securities traded on a regulated exchange or trading platform, the competition powers arguably go wider. [read post]
22 Mar 2019, 3:30 am
The Secured Overnight Financing Rate (SOFR) is a lock for the new and improved LIBOR. [read post]
21 Mar 2019, 9:10 pm
Securities and Exchange Commission (SEC) voted to simplify and relax companies’ financial disclosure requirements. [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]
14 Mar 2019, 3:51 pm
If you’ve never heard of the Business Integrity Commission, or BIC, you’re not alone. [read post]
12 Mar 2019, 8:17 am
” Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. [read post]
10 Mar 2019, 4:28 am
Securities and Exchange Commission. [read post]
8 Mar 2019, 8:54 am
After you file a Form TCR with the Securities and Exchange Commission, you may strike gold. [read post]
8 Mar 2019, 4:30 am
Don't assume you'll be paid in the next pay period.Also, if you're owed commissions, find out if they intend to pay them. [read post]
