Search for: "In Re Securities and Exchange Commission"
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31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
9 May 2017, 11:41 am
Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. [read post]
3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [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]
22 Feb 2023, 4:00 am
In In re Ensign Peak Advisor, Inc. [read post]
6 Apr 2009, 2:17 am
Senator Nick Sherry, Minister for Superannuation and Corporate Law, has allowed changes to the Australian Securities Exchange (ASX) market rules to boost retail investor disclosure and protection in relation to "partly paid securities". [read post]
9 Dec 2022, 6:34 am
Securities and Exchange Commission. [read post]
9 Dec 2022, 6:34 am
Securities and Exchange Commission. [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
31 Aug 2019, 7:00 am
The Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”) both include investment contracts in their definition of securities. (15 U.S.C. [read post]
18 May 2020, 1:54 pm
In a virtual roundtable on May 13, however, the Senate Homeland Security and Governmental Affairs Committee heard testimony on the task force’s findings from the commission’s co-chairs, Sen. [read post]
18 May 2020, 1:54 pm
In a virtual roundtable on May 13, however, the Senate Homeland Security and Governmental Affairs Committee heard testimony on the task force’s findings from the commission’s co-chairs, Sen. [read post]
10 May 2013, 6:52 am
Securities and Exchange Commission. [read post]
15 Jul 2020, 6:14 am
Securities and Exchange Commission. [read post]
19 Sep 2024, 3:30 am
Here’s more from the 2-page fact sheet: On September 18, 2024, the Securities and Exchange Commission adopted amendments to [e]stablish a second minimum pricing increment, also known as tick size, of $0.005 under Rule 612 of Regulation NMS for the quoting of certain NMS stocks, which are stocks listed on a national securities exchange, regardless of trading venue…. [read post]
1 Apr 2015, 1:43 pm
By Ada Dolph, Christopher Robertson, and Robert Milligan The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud complaints in-house. [read post]
29 Dec 2011, 10:46 am
The Securities and Exchange Commission has issued a proposal seeking to impose larger penalties on wrongdoers. [read post]
15 Aug 2018, 5:00 am
In addition to federal criminal charges, the men also face charges by the Securities and Exchange Commission. [read post]
6 Jan 2009, 6:17 am
The Securities and Exchange Commission approved requiring public companies to release interactive versions of their financial data. [read post]
5 Feb 2024, 9:01 pm
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
