Search for: "Securities and Exchange Commission"
Results 1321 - 1340
of 22,486
Sorted by Relevance
|
Sort by Date
11 May 2015, 9:03 am
According to Securities and Exchange Commission (SEC) court filings, brokers Jeffrey Gainer, Jerry Cicolani, Jr. and Kelly Hood were terminated from their employer PrimeSolutions Securities, Inc., a Cleveland, Ohio broker-dealer, as a result of marketing and recommending investments in KGTA Petroleum, Ltd. [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the… [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the… [read post]
1 Mar 2022, 3:15 am
Also on Friday, the Commission issued this 4-page release to reopen the comment period on proposed Exchange Act Rule 10c-1. [read post]
3 Sep 2015, 5:33 am
Last week, the Securities and Exchange Commission announced that effective October 1, 2015, filing fees that public companies and other issuers pay to register their securities with the Commission will be reduced to $100.70 per million dollars (from $116.20 per million dollars). [read post]
18 May 2022, 2:47 pm
[Fifth Circuit panel finds several constitutional problems with the Securities and Exchange Commission] In Jarkesy v. [read post]
19 Aug 2013, 6:28 am
The Securities and Exchange Commission wants it to be better. [read post]
7 Aug 2013, 6:08 am
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. [read post]
21 Feb 2010, 9:10 am
On February 9, 2010, the Securities and Exchange Commission filed a complaint against two individuals for violations of the Securties Exchange Act of 1934 alleging that: From approximately January 2005 until March 2007, the Defendants spearheaded a sophisticated scheme to defraud the banks and their depositors by secretly using relatives as nominees to acquire stock in those conversions in contravention of the offering terms and applicable banking regulations. [read post]
29 Oct 2019, 1:50 pm
Find these two laws and others at Investor.gov, a website aimed at the public.The Securities and Exchange Commission Historical Society is an online museum. [read post]
12 Apr 2010, 6:34 am
On April 7, 2010, the Securities and Exchange Commission proposed significant revisions to Regulation AB and other rules relating to the disclosure, reporting and offering process for asset-backed securities. [read post]
25 Feb 2010, 3:36 am
The Securities and Exchange Commission Feb. 24 voted unanimously to issue a statement making clear its commitment to a single set of globally accepted accounting standards. [read post]
10 Jan 2024, 9:05 pm
In a typical year, the Securities and Exchange Commission (SEC) brings a few dozen enforcement cases against individuals for insider trader. [read post]
24 Oct 2016, 10:54 am
In September 2015, The Securities and Exchange Commission (SEC) announced fraud charges and an asset freeze to halt an ongoing real estate investment scheme being conducted by a trio of business associates in California accused of stealing investors’ money. [read post]
15 Jul 2011, 11:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors. [read post]
15 Jul 2011, 10:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors.The commission made its comments in a letter to Senator Jay Rockefeller, chairman of the Senate Commerce Committee, that was released on June 8, 2011. [read post]
15 Jul 2011, 11:38 am
The Securities and Exchange Commission stated that publicly-traded companies should disclose the threat and potential impact of cyber attacks that pose a risk to their investors. [read post]
2 Oct 2015, 6:10 am
Recently, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed a proposed rule change with the Securities and Exchange Commission to amend the NYSE Listed Company Manual (the “Manual”), effective September 28, 2015. [1] The proposed amendments (i) expand the pre-market hours during which companies with listed securities are required to notify the Exchange prior to disseminating material news,… [read post]
24 Feb 2009, 9:29 am
Download SEC Complaint THE HAYES LAW FIRM, www.dhayeslaw.com 4265 San Felipe, Suite 1000 Houston, TX 77027 Phone: 713-622-7271, Toll free: 1-866-332-3567 [read post]
13 Jun 2022, 6:05 am
The Securities and Exchange Commission today charged three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their…Read the Full Press ReleaseHave a securities law question? [read post]
