Search for: "In Re Securities and Exchange Commission"
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20 Sep 2023, 9:04 pm
The political groups have petitioned the Securities and Exchange Commission (SEC) to stop the JBS dual listing plan over their concerns. [read post]
26 Aug 2011, 5:30 am
Securities fraud/shareholder fraud: providing information or participating in an investigation with the Securities Exchange Commission. [read post]
EU data governance regulation – A wave of digital, regulatory and antitrust reform begins – Part Two
17 Dec 2020, 8:23 am
On 25 November 2020, the European Commission (EC) published its proposed Data Governance Regulation (the DGR), which will create a new legal framework to encourage the development of a European single market for data. [read post]
23 Apr 2009, 3:23 pm
Why treat the security of your financial portfolio any differently? [read post]
18 Jan 2016, 2:05 pm
Financial advisors and brokers typically receive high commissions and fees associated with MLPs, financial advisors and brokers recommending these products stand to gain by maximizing sales of MLPs and other high commission paying products. [read post]
8 Jun 2022, 9:01 pm
Wholesalers may be saving more than they’re passing along to investors in terms of price improvement.[14] Further, as I previously discussed, the current NBBO has gaps and may not represent a level playing field. [read post]
8 Feb 2021, 6:36 am
The Securities And Exchange Commission recently published an investor alert discussing stock information on social media. [read post]
7 Sep 2010, 5:00 am
Sources: Release No. 34-62834 In Re: LACE Financial Corp. and Barron Putnam Release No. 34-62835 In Re: Damyon Mouzon SEC Charges NRSRO with Violation of 10% Rule by Barbara Black in Securities Law Prof Blog 17 CFR 240.17g-1 et seq. [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
25 Sep 2013, 12:41 pm
According to data released by the Securities & Exchange Commission, 114 insurance executives received compensation of $5 million or more in 2012, with 40 receiving $10 million or above. [read post]
5 Dec 2019, 3:00 am
Here’s the intro of the article: When Securities and Exchange Commission Chairman Jay Clayton handed a policy win to corporate executives this month, he pointed to a surprising source of support: a mailbag full of encouragement from ordinary Americans. [read post]
18 Jun 2015, 9:30 pm
Securities and Exchange Commission (SEC) proposed a rule introducing new requirements for Form ADV, the registration form used by investment advisers, including that advisers submit information about separately managed accounts, and their social media use. [read post]
9 Feb 2018, 6:00 am
[More…] Market regulators on crypto: We’re on it, but may need help by Ian McKendry Testifying before the Senate Banking Committee, the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission said the two agencies are not ignoring the fast-growing cryptocurrency sector and they have some oversight powers. [read post]
21 Oct 2011, 12:00 am
Without admitting any wrongdoing, a Citigroup subsidiary agreed to pay $285 million to settle charges brought by the Securities and Exchange Commission (SEC) claiming the firm misled buyers of a complex mortgage investment. [read post]
19 Jul 2018, 9:30 pm
Securities and Exchange Commission’s (SEC) traditional regulatory framework to ICOs because not all digital currencies are definitively classified as securities. [read post]
27 Apr 2022, 5:54 am
” According to the whistleblower complaint filed with the Securities and Exchange Commission (SEC), Facebook’s internal research concluded that 13.5 percent of teen girls on Instagram say the platform makes thoughts of “Suicide and Self-Injury” worse. [read post]
7 Jun 2019, 6:36 am
In December 2017 The Securities and Exchange Commission (SEC) Connecticut-based investment advisory firm and its principal, McClure, with breaching their fiduciary duties and defrauding advisory clients by repeatedly purchasing securities that generated significant amounts of undisclosed compensation. [read post]
7 Dec 2009, 7:43 am
The appellate panel found that the Commission had sufficient regulatory authority under Exchange Act Section 10(a). [read post]
7 Aug 2008, 12:15 pm
With the relationship contractual, Broadridge is free of any direct regulation of the Commission or the securities laws. [read post]
