Search for: "Securities and Exchange Commission"
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17 Mar 2010, 12:06 pm
Schapiro, the chairwoman of the Securities and Exchange Commission, confirmed Wednesday that the agency was investigating several companies' actions in the run-up to the financial crisis of 2008. [read post]
25 Jun 2010, 3:56 pm
One of the overlooked changes in the final financial regulatory bill was the removal of a proposed measure that would have made the Securities and Exchange Commission a self-financed agency. [read post]
5 Jul 2012, 11:56 am
The Securities and Exchange Commission on Thursday named Norman B. [read post]
10 Feb 2012, 6:27 am
Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change... [read post]
7 Oct 2009, 11:04 am
The Securities and Exchange Commission is not backing down in its insider trading case against Mark Cuban, the entrepreneur-turned-professional basketball team owner. [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]
6 Sep 2012, 10:00 am
A Federal Appeals Court has revived a decade-old insider-trading case brought against a New York hedge fund manager by the Securities and Exchange Commission. [read post]
29 Jun 2010, 12:48 pm
The Securities and Exchange Commission agreed to settle a wrongful termination suit filed by a former staff lawyer who was fired during an insider-trading investigation. [read post]
23 Aug 2011, 5:27 pm
After Tuesday's earthquake, the Securities and Exchange Commission temporarily shutdown its crucial Edgar online filing system on Tuesday night. [read post]
21 Oct 2008, 11:34 am
The Securities and Exchange Commission charged five Los Angeles-area brokers, Guillermo Haro, Kederio Ainsworth, Jesus Gutierrez, Gabriel Paredes and Angel Romo, with securities fraud, alleging that they put their customers at risk by refinancing their homes with subprime mortgages that they could not afford in order to fraudulently sell them unsuitable securities. [read post]
28 Sep 2021, 8:00 am
In an order issued on September 24th, 2021, the Securities and Exchange Commission (“SEC”) settled with Thomas Powell, Stefan Toth, and two entities they owned, Homebound Resources LLC (“Homebound”) and Resolute Capital Partners LTD LLC (“RCP”) on several charges of investment and securities fraud relating to oil and gas securities offerings. [1] The SEC’s order concerns a period of time from 2016 through 2019,… [read post]
26 Aug 2022, 11:38 am
The Securities and Exchange Commission announced that the fees that public companies and other issuers pay to register their securities with the Commission will increase from $92.70 per million dollars to $110.20 per million dollars, effective Oct. 1. [read post]
8 Apr 2022, 11:36 am
The Securities and Exchange Commission today announced that starting on May 14, 2022, the fee rates applicable to most securities transactions will be set at $22.90 per $1 million. [read post]
25 Aug 2023, 10:46 am
The Securities and Exchange Commission today announced that the fees that public companies and other issuers pay to register their securities with the Commission will increase from $110.20 per million dollars to $147.60 per million dollars, effective Oct…Read the Full Press Release Have a securities law question? [read post]
19 May 2010, 12:29 pm
Related Web Resources: US Securities and Exchange Commission Guaranteed Investment Contracts, Financial Web [read post]
24 Sep 2024, 9:01 pm
Securities and Exchange Commission. [read post]
29 Aug 2017, 7:13 pm
On 25 August 2017, the Securities and Futures Commission (SFC) and the Hong Kong Police (HKP) signed a memorandum of understanding (MoU) to formalise and strengthen the parties’ co-operation in combating financial crime. [read post]
29 Jan 2015, 3:13 pm
InvestmentNews reported on January 29, 2015 that Girard Securities, Inc. is going to be audited by the Securities and Exchange Commission (SEC) and has requested what the Girard Securities Chairman and Chief Executive characterized as a massive request for data. [read post]
27 Sep 2018, 6:24 am
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
23 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
