Search for: "Securities and Exchange Commission"
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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]
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]
22 Feb 2010, 9:23 am
Securities and Exchange Commission - Merrill Lynch - Financial Services [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]
25 Nov 2019, 2:01 pm
On Friday, November 15, 2019 The Securities and Exchange Commission (SEC) announced that a whistleblower award of more than $260,000 had been given to three people who jointly alerted the agency to a “well-concealed fraud targeting retail investors. [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]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
16 May 2017, 6:21 am
Securities and Exchange Commission. [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]
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]
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]
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]
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]
21 Feb 2020, 8:27 am
Securities and Exchange Commission (SEC) warned of fraudulent scams involving ICOs; and, while many of these offerings were legitimate (and legitimate ICOs remain on the market today), many investors were forced to hire investment fraud attorneys to help them recover their losses. [read post]
22 Aug 2024, 9:05 pm
Dec. 22, 2020) and Securities and Exchange Commission v. [read post]
6 Sep 2012, 5:39 am
Securities and Exchange Commission. [read post]
