Search for: "Securities and Exchange Commission"
Results 1161 - 1180
of 22,358
Sorted by Relevance
|
Sort by Date
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [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]
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]
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]
10 Jun 2022, 6:34 am
Securities and Exchange Commission. [read post]
10 Jun 2022, 6:34 am
Securities and Exchange Commission. [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]
1 Aug 2013, 6:23 am
Securities and Exchange Commission. [read post]
25 Apr 2022, 12:05 pm
The Securities and Exchange Commission will hold a virtual event on April 28 along with the North American Securities Administrators Association (NASAA) and the AARP to examine the latest challenges and issues affecting the senior investor community. [read post]
1 Jul 2024, 7:05 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach…Read the Full Press Release Have a securities law question? [read post]
14 Sep 2022, 8:30 am
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. [read post]
15 Mar 2023, 10:25 am
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jul 2023, 8:00 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA) and Wisconsin Department of Financial Institutions (DFI) for a Joint Public Roundtable at the DFI headquarters on…Read the Full Press Release Have a securities law question? [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
4 Mar 2020, 12:16 pm
The case involves the scope of relief in enforcement actions that the Securities and Exchange Commission brings in federal court (as opposed to its internal administrative proceedings). [read post]
16 Mar 2011, 8:52 am
The law firm is pushing the Securities and Exchange Commission to amend the reporting requirements for activist investors, an unintended consequence of the Dodd-Frank regulatory overhaul. [read post]
17 Sep 2007, 4:36 pm
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations, GAO-07-830, August 15,... [read post]
28 Mar 2011, 6:58 am
Berkshire Hathaway wrote down the value of three equity stakes after the Securities and Exchange Commission questioned valuations, Bloomberg News reports. [read post]
24 Mar 2010, 9:56 am
A federal appeals court on Wednesday granted a motion by hedge fund manager Raj Rajaratnam to stay the turnover of wiretap recordings to the Securities and Exchange Commission, pending an appeal. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
