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19 May 2009, 4:38 pm
The Securities and Exchange Commission will propose new rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, according to commission officials. [read post]
20 May 2009, 11:48 am
The Securities and Exchange Commission proposed rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, commission officials said. [read post]
1 Mar 2010, 2:52 am
The Securities and Exchange Commission Feb. 24 voted unanimously to issue a statement making clear its commitment to a single set of globally accepted accounting standards but also stated that the move to international standards would be delayed. [read post]
4 Mar 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Sean David Morton of Manhattan Beach, California, alleging that Morton falsely claimed he would use his psychic expertise to provide investment guidance. [read post]
29 Mar 2011, 6:43 pm
However, as Woolner points, not all defendants of US Securities and Exchange Commission cases are also charged in criminal court over the alleged securities fraud. [read post]
17 Aug 2022, 3:57 am
In a decision with significant implications for securities litigation and enforcement, the United States Court of Appeals for the Second Circuit recently rebuffed an attempt by the US Securities and Exchange Commission (SEC) to broaden the scope of “scheme liability” under Section 10(b) of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933. [read post]
11 Jul 2019, 6:26 am
Securities and Exchange Commission. [read post]
19 Jul 2011, 7:45 am
On July 15, 2011, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint against First Capital Savings & Loan, Ltd. [read post]
4 May 2010, 10:08 pm
Slovak has agreed to pay $25,000 to resolve Securities and Exchange Commission charges that she committed Texas securities fraud. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
14 Nov 2006, 5:12 am
Google, Yahoo and other Internet companies are asking the Securities and Exchange Commission to review fees that stock exchanges in the United States charge for market data, challenging a major source of income at the exchanges. [read post]
15 Jun 2023, 4:49 am
”Further, Better Markets noted the proposal reiterates the standing position of the Commission, “expressed on numerous occasions,” that trading systems that bring together multiple buyers and sellers of cryptocurrency securities using established, non-discretionary methods meet the definition of an “exchange” under Section 3(a)(1) of the Exchange Act and Exchange Act Rule 3b-16(a) and are subject to the exchange… [read post]
24 Sep 2011, 5:55 am
Securities and Exchange Commission. [read post]
