Search for: "U. S. Securities and Exchange Commission"
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5 Jul 2023, 9:13 am
Background When Congress created the Securities and Exchange Commission in the wake of the Great Depression, it granted the agency the power to enforce the securities laws either in federal district court or through internal hearings in front of an administrative law judge (ALJ). [read post]
24 Aug 2012, 10:53 am
Securities and Exchange Commission (“SEC”) made its first payout of $50,000 to a whistleblower since a program was created last year to reward people who provide regulators with evidence of securities fraud. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
27 Jun 2022, 9:05 pm
Last February, the Securities and Exchange Commission proposed to “modernize” the reporting of beneficial ownership of a company’s stock under section 13(d) of the 1934 Securities Exchange Act. [read post]
28 Jan 2016, 4:34 pm
-affiliated securities dealers of nine bank holding companies under a voluntary pilot program run by the Office of Financial Research (OFR) and the Federal Reserve System with input from the Securities and Exchange Commission. [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
11 Jun 2007, 6:26 pm
"B Share", or "back-end load", mutual fund issues are being reconsidered by The Securities and Exchange Commission. [read post]
2 Jun 2009, 12:10 pm
Citigroup and the U. [read post]
14 Aug 2023, 8:18 am
the Securities and Exchange Commission today charged Crowe U.K. [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
17 Dec 2008, 9:25 am
– Christopher Cox, SEC Chairman, referring to the Commission’s failure to investigate Bernard Madoff The SEC’s review of its own oversight (or lack thereof) of Bernie Madoff’s securities-trading and investment-management firm will cast a spotlight on two lawyers who apparently began dating in 2006, fell in love and married last year. [read post]
26 May 2013, 7:21 am
Securities and Exchange Commission (SEC). [read post]
13 Jan 2016, 3:57 pm
-affiliated securities dealers of nine bank holding companies under a voluntary pilot program run by the Office of Financial Research and the Federal Reserve System with input from the Securities and Exchange Commission. [read post]
17 Feb 2009, 11:15 am
In the wake of Bernard Madoff's alleged $50 billion Ponzi scheme, the United States Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies with orchestrating multi-billion dollar fraudulent investment schemes. [read post]
13 Feb 2014, 1:45 pm
In this article, we will answer some of the most frequently asked questions we receive from our clients using EB-5 financing for their projects, and offer some practical guidelines for regional centers and project developers to conduct EB-5 investment offerings in compliance with the regulations and policies of the Securities and Exchange Commission (“SEC”). [read post]
1 Jul 2022, 6:32 am
Securities and Exchange Commission. [read post]
1 Jul 2022, 6:32 am
Securities and Exchange Commission. [read post]
25 Jun 2014, 9:58 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
7 Dec 2021, 9:48 am
Exchange Letters and Diplomatic Jabs over English Channel Migrant Crossing Disaster appeared first on IELR Blog. [read post]
