Search for: "In Re Securities and Exchange Commission"
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22 Sep 2020, 3:05 am
All sessions are shown in Eastern Time – so you will need to adjust accordingly if you’re in a different time zone. [read post]
8 Dec 2007, 5:15 am
They'd have no knowledge about any plans the hedge fund has to loot the company or manipulate its securities. [read post]
7 Aug 2012, 8:44 am
Among the factors which have been considered by the courts and the Commodity Futures Trading Commission (CFTC) are: 1) the commission-to-equity ratio; 2) the percentage of day trades; 3) departure from a previously agreed upon strategy; 4) whether the account was traded while it was undermargined; and 5) re-establishment of previously liquidated positions in the same or related contracts. [read post]
7 Aug 2012, 8:44 am
Among the factors which have been considered by the courts and the Commodity Futures Trading Commission (CFTC) are: 1) the commission-to-equity ratio; 2) the percentage of day trades; 3) departure from a previously agreed upon strategy; 4) whether the account was traded while it was undermargined; and 5) re-establishment of previously liquidated positions in the same or related contracts. [read post]
12 Jul 2016, 5:00 am
The Commission’s guidance is that the Commission will be guided—but not controlled—by judicial precedent applying comparable language under the SEC rules.Commodities insider trading. [read post]
5 Sep 2011, 11:34 am
Securing the re-zoning is a major undertaking, involving years of prep work -- scoping hearings for environmental assessment, ULURP for city rezonings, etc. [read post]
9 Nov 2011, 8:09 am
Moreover, security internees held pursuant to GC4 detention grounds can only be held so long as they constitute a security risk, not “until the end of hostilities” as Section 1031 suggests. [read post]
18 Apr 2007, 1:23 am
New York Stack Exchange Inc. [read post]
29 Sep 2023, 5:55 am
Peacebuilding Commission, created, in 2005 (UN60), partly in response to Security Council reform failures. [read post]
10 Sep 2012, 11:08 am
Justice Department, the Securities and Exchange Commission and a number of state attorneys general, was supposed to pool its resources in an investigation into who should be held legally responsible for the housing collapse and subsequent economic implosion. [read post]
13 Oct 2020, 9:10 am
Securities and Exchange Commission. [read post]
21 Sep 2016, 4:42 am
The GOP provision would prevent the Securities and Exchange Commission from working on a rule that would require publicly traded companies to disclose political contributions. [read post]
9 Aug 2011, 11:21 am
The Securities and Exchange Commission Aug. 4 dropped its administrative insider trading case against former Goldman Sachs Inc. [read post]
27 Dec 2022, 1:19 pm
If you’re purchasing something from a social media site, don’t pay until you’ve seen the item and can do a mutual exchange of the item and payment. [read post]
17 Mar 2014, 6:59 am
The authority to grant such waivers has been delegated by the Commission to the Director of CorpFin. [read post]
20 Aug 2018, 1:40 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRANewport Coast Securities, Inc. and Douglas Anthony Leone The firm appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
6 Mar 2024, 9:03 pm
Our federal securities laws lay out a basic bargain. [read post]
14 Nov 2006, 7:43 am
DaimlerChrysler looks to be facing tough times and tough troubles.Recently the company announced that it had immediately suspended some senior managers after a probe uncovered what it calls "unspecified irregularities" (corporate speak for "we aren't gonna tell you how bad it is").The company is already under investigation by the US Securities and Exchange Commission over allegations that it used slush funds to bribe foreign officials, as US… [read post]
20 Oct 2022, 3:15 am
After years of anticipation, the agenda includes: The Commission will consider whether to adopt rules to implement of Section 10D of the Securities Exchange Act, as added by Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
