Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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30 Sep 2010, 12:57 pm
Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing, and Urban Affairs on September... [read post]
15 Feb 2011, 1:08 pm
Securities and Exchange Commission before the United States House Financial Services Committee. [read post]
20 Jul 2010, 12:12 pm
Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises on... [read post]
17 Nov 2021, 8:31 am
The Securities & Exchange Commission (SEC). [read post]
14 Nov 2006, 5:12 am
Google, Yahoo and other Internet companies are asking the Securities and Exchange Commission to review fees that stock exchanges in the United States charge for market data, challenging a major source of income at the exchanges. [read post]
14 Jan 2020, 1:50 pm
Is the platform a securities exchange? [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
4 Jan 2019, 6:59 am
United States Securities and Exchange Commission, Jay Clayton, and Brent J. [read post]
7 Nov 2022, 2:30 am
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
10 May 2023, 12:55 pm
Securities and Exchange Commission (SEC) Regulations Pursuant to its authority under the Securities Exchange Act of 1934, the SEC has adopted an extensive body of regulations that are designed to enhance investor protections in the United States. [read post]
7 Jun 2011, 9:00 am
BY THE PRESIDENT OF THE UNITED STATES OF AMERICA. [read post]
9 May 2012, 7:00 am
-listed securities outside the United States. [read post]
28 Sep 2018, 9:02 am
Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission (DOJ Release)https://www.justice.gov/usao-sdny/pr/former-auditor-sentenced-submitting-fraudulently-backdated-documents-securities-andFormer auditor and owner of a registered public accounting firm, Terry Johnson, pled guilty to submitting falsely backdated documents to the United States Securities and Exchange… [read post]
2 Jun 2014, 3:44 am
United States Securities and Exchange Commission v. [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)... [read post]
17 Aug 2022, 3:57 am
In a decision with significant implications for securities litigation and enforcement, the United States Court of Appeals for the Second Circuit recently rebuffed an attempt by the US Securities and Exchange Commission (SEC) to broaden the scope of “scheme liability” under Section 10(b) of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933. [read post]
4 Feb 2016, 6:04 am
On January 22, 2016, the United States District Court for the Southern District of New York (Judge John Koeltl) dismissed In re Lions Gate Entertainment Corp. [read post]
15 Aug 2012, 10:13 am
Aug. 8, 2012), the United States Court of Appeals for the Second Circuit clarified the standard for finding liability for aiding and abetting under Section 20(e) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
1 Jul 2009, 12:53 pm
State Street Corp. disclosed on Monday in a regulatory filing that the Securities and Exchange Commission could bring civil charges against its main subsidiary for possible securities violations tied to past investments in subprime mortgages. [read post]
