Search for: "Securities and Exchange Commission"
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23 Jan 2023, 7:01 am
The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. [read post]
6 Feb 2024, 9:00 am
The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity-providing roles in the markets, to register with the SEC, become…Read the Full Press Release Have a securities law question? [read post]
29 Jun 2023, 8:10 am
The Securities and Exchange Commission today filed insider trading charges against Bruce Garelick, a former board member of Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC); Michael Shvartsman and his firm Rocket…Read the Full Press Release Have a securities law question? [read post]
9 Jan 2020, 6:28 am
Securities and Exchange Commission. [read post]
29 Sep 2009, 8:05 pm
The Securities and Exchange Commission is charging trader Reza Saleh with Texas securities fraud. [read post]
27 Jun 2019, 6:26 am
This act is administered by the Securities and Exchange Commission, the same agency that administers the other securities laws, but it imposes a different body of regulations in place of (and sometimes on top of) the generic securities regulations that apply to every other kind of company. [read post]
30 Apr 2021, 1:35 pm
Treasury between 1987 and 2020, with inspiring the creation of similar programs to financially reward whistleblowers whose tips lead to successful enforcement actions at the following five U.S. agencies – the Internal Revenue Service (IRS) for tax evasion and tax law violations, the Securities and Exchange Commission (SEC) for violations of securities law and the Foreign Corrupt Practices Act, the Commodity Futures Trading Commission (CFTC) for… [read post]
8 Jul 2022, 3:59 am
The Certified Financial Planner Board (“CFP Board”) temporarily suspended Western International Securities Broker Patrick Egan after both the broker and firm were sued by the United States Securities and Exchange Commission (“SEC”) for selling GWG L Bonds that were not in the best interests of their customers. [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
12 Oct 2009, 4:01 am
Securities and Exchange Commission â [read post]
16 Jan 2008, 8:00 pm
The thinking in the commission is that a deal should come to it only if at least 15 per cent equity changes hands, which is also the kick-off point for the Securities & Exchange Board of India's takeover regulations. [read post]
6 May 2012, 8:07 am
Securities and Exchange Commission. [read post]
1 Aug 2013, 6:23 am
Securities and Exchange Commission. [read post]
7 Apr 2022, 9:01 pm
Securities and Exchange Commission. [read post]
27 Jan 2011, 4:47 pm
Under Rule 15Fi-1, the Securities and Exchange Commission’s proposed rule under the 1934 Securities Exchange Act, certain security-based swap participants and security-based swap dealers would provide counterparties with an electronic “trade acknowledgement” to acknowledge and verify specific security-based swap transactions. [read post]
29 Dec 2010, 10:09 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
17 Mar 2003, 3:03 pm
[JURIST] The US Securities and Exchange Commission [official website] Monday charged the Merrill Lynch investment firm and four of its former senior executives with aiding and abetting securities fraud by Enron Corporation. [read post]
5 Jun 2009, 3:57 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Thursday charged [complaint, PDF] former Countrywide Financial Corporation officials with securities fraud arising from misleading investors. [read post]
8 Apr 2008, 2:44 am
[JURIST] The US Securities and Exchange Commission (SEC) sued five former San Diego city officials in federal court Monday, alleging they committed securities fraud by failing to disclose funding shortfalls in the city's pension and health care plans to potential buyers and sellers of San Diego's municipal bonds. [read post]
