Search for: "Securities and Exchange Commission"
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20 May 2010, 7:58 am
The enforcement division of the Securities and Exchange Commission has begun looking into the sharp stock market drop of May 6, the chairwoman of the agency said on Thursday. [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]
22 Aug 2012, 6:15 pm
In a 17-page letter sent to the Securities and Exchange Commission on Wednesday, Citigroup said "Nasdaq was grossly negligent in its handling of the Facebook I.P.O. [read post]
14 Nov 2007, 8:35 am
Walter to fill current and pending vacancies at the Securities and Exchange Commission, the Washington Post reported Nov. 14. [read post]
26 Dec 2023, 9:59 am
The FCC’s action follows on the heels of the Securities and Exchange Commission final rule requiring businesses to report cyberattacks to the agency within four days of determining the scope of compromise and the Federal Trade Commission’s recent updates to its breach reporting rules. [read post]
5 Jan 2023, 6:17 pm
The Exchange Act voids “[a]ny condition, stipulation, or provision binding any person acquiring any security to waive compliance with any provision of this title. [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [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]
15 May 2013, 8:55 am
” Jim comments on trends in Securities and Exchange Commission enforcement, the new arrivals of SEC chairwoman, Mary Jo White and Enforcement Unit co-head, Andrew Ceresney, the recent “Non-Prosecution Agreement” with Ralph Lauren, and more. [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]
8 Nov 2023, 6:31 am
Securities and Exchange Commission. [read post]
8 Nov 2023, 6:31 am
Securities and Exchange Commission. [read post]
24 Sep 2024, 9:01 pm
Securities and Exchange Commission. [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]
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]
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]
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]
19 May 2010, 12:29 pm
Related Web Resources: US Securities and Exchange Commission Guaranteed Investment Contracts, Financial Web [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]
1 Oct 2013, 8:10 pm
On October 1, the Securities and Exchange Commission announced that it had paid the highest award ever, to an anonymous informant. [read post]
