Search for: "In Re Securities and Exchange Commission"
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5 Dec 2018, 3:00 am
” But the path to compliance isn’t easy – and includes registering the securities under the Exchange Act. [read post]
3 Dec 2018, 8:43 pm
The dividing lines were apparent at Monday’s argument in Lorenzo v Securities and Exchange Commission, as several justices seemed to think it self-evident that the conduct of petitioner Francis Lorenzo amounted to a fraudulent scheme under the federal securities laws, while at least one justice, Neil Gorsuch, appeared ready to rule for Lorenzo. [read post]
30 Nov 2018, 3:34 am
Federal securities rules have required quarterly reporting since 1970, when the SEC required it as part of a formalization of stock-exchange practices that preceded the agency’s creation in 1934. [read post]
28 Nov 2018, 7:17 am
Stock exchanges approved for Nebraska’s exchange listed exemption are securities exchanges specified by federal Securities Act, Section 18(b)(1) and SEC Rule 230.146, as well as the Chicago Stock Exchange. [read post]
21 Nov 2018, 2:26 am
Securities and Exchange Commission (SEC) and outlaw any agreement that restricts whistleblowing to law enforcement. [read post]
19 Nov 2018, 6:00 am
American companies are getting hacked, and the Securities and Exchange Commission wants corporate executives to do something about it. [read post]
18 Nov 2018, 8:48 pm
Proposals for a national security exchange are not new in Canada. [read post]
16 Nov 2018, 12:41 pm
(CRD #130116, Minnetonka, Minnesota)The firm was censured, fined $5,000, and required to submit a certification to FINRA that the firm has enhanced its supervisory system, including its WSPs, to ensure it obtains customer account information, in accordance with Securities and Exchange Commission (SEC) Rule 17a-3(a)(17). [read post]
16 Nov 2018, 10:26 am
The White House revoked Acosta’s security pass after a heated exchange between him and President Trump last week. [read post]
12 Nov 2018, 6:30 am
Unregistered Broker-Dealer The Securities and Exchange Commission imposed sanctions against TokenLot LLC, an “ICO Superstore,” for its sales of digital tokens to the general public through a website. [read post]
12 Nov 2018, 5:00 am
Marital Property Division If you’re going through a divorce, you’ll want to do everything you can to protect yourself financially. [read post]
8 Nov 2018, 9:30 pm
Securities and Exchange Commission following charges that he had knowingly misled investors about a plan to take the company private at a “substantial premium to its trading price at the time. [read post]
8 Nov 2018, 6:10 am
The Securities and Exchange Commission has the same problem as any compliance professional: “How do you prove you’re being effective? [read post]
7 Nov 2018, 9:04 pm
However, the Enterprise Foods meat canning operation, which is a separate unit on the Polokwane site, re-commenced activity in mid-September. [read post]
7 Nov 2018, 7:55 am
The Securities and Exchange Commission says “no. [read post]
31 Oct 2018, 9:59 am
Five senior Taliban members who were released from Guantánamo Bay in 2014 in exchange for U.S. [read post]
25 Oct 2018, 8:03 am
McMaster as Trump’s national security adviser. [read post]
19 Oct 2018, 7:32 am
The timing of the tweet and the stock price increase brought about an investigation by the Stock Exchange Commission (SEC). [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Disclosure, information, SEC, Securities regulation, Swaps Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Posted by Kara M. [read post]
18 Oct 2018, 9:30 pm
Securities and Exchange Commission (SEC) concluded that two national stock exchanges—the New York Stock Exchange and NASDAQ—failed to demonstrate that the fees they charged for access to market data complied with the Securities Exchange Act of 1934. [read post]
