Search for: "In Re Securities and Exchange Commission"
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18 Mar 2018, 9:00 am
The decline comes days after a senior official from the Securities and Exchange Commission acknowledged that the agency had "dozens" of open investigations into initial coin offerings. [read post]
17 Mar 2018, 5:37 am
Securities and Exchange Commission. [read post]
16 Mar 2018, 6:08 am
Securities and Exchange Commission, on Thursday, March 15, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, Securities regulation, Transparency [read post]
15 Mar 2018, 9:30 pm
Securities and Exchange Commission (SEC) charged Jun Ying, the former chief information officer of Equifax, with insider trading. [read post]
15 Mar 2018, 7:16 am
The National Securities Markets Improvement Act of 1996 re-allocated and clarified the division of duties between federal and state securities regulators, including by defining the term “covered securities. [read post]
14 Mar 2018, 1:30 pm
Without guidance from the Securities Exchange Commission, the token community has been left to regulate itself and scammers have taken advantage of it. [read post]
12 Mar 2018, 2:11 pm
” This statement is famously attributed to Jerome Frank, a Securities & Exchange Commission chairman and federal appellate judge during the FDR era. [read post]
8 Mar 2018, 9:30 pm
Securities and Exchange Commission. [read post]
8 Mar 2018, 7:57 am
Securities and Exchange Commission, 17-130, the government persuaded the court that the petitioners in Scott had “failed to raise an Appointments Clause challenge either before the [agency] or before the court of appeals, and neither of those bodies addressed the issue. [read post]
2 Mar 2018, 8:10 am
They're all superior to me. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [read post]
1 Mar 2018, 3:33 pm
On February 21, the Securities and Exchange Commission issued new Interpretive Guidance regarding disclosures of cybersecurity-related information by publicly traded companies. [read post]
28 Feb 2018, 10:00 am
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
25 Feb 2018, 6:46 am
The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs) and combating abuses in cybersecurity matters. [read post]
23 Feb 2018, 3:09 pm
… The Dodd-Frank Act provides specified whistleblower rights to an employee who communicates a securities law violation “to the [Securities Exchange] Commission”. [read post]
23 Feb 2018, 6:14 am
Securities and Exchange Commission, on Thursday, February 22, 2018 Tags: Cybersecurity, Disclosure, Public firms, Public interest, Risk, Risk disclosure, Risk management, Securities regulation [read post]
23 Feb 2018, 4:07 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
23 Feb 2018, 4:00 am
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [read post]
22 Feb 2018, 9:30 pm
Securities and Exchange Commission—and not when they disclose to others, like higher authorities within the company itself. [read post]
22 Feb 2018, 8:39 am
Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. [read post]
