Search for: "Securities and Exchange Commission"
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11 Mar 2008, 10:49 am
As per new Securities and Exchange Commission rules, all private limited companies that have paid up capital over Taka.40 crore will have to be converted to public limited companies and must be listed on the stock exchange. [read post]
14 Sep 2010, 3:59 am
The Securities and Exchange Commission has spent 15 years remaking the stock market into 11 competing exchanges and hundreds of computer-driven traders. [read post]
30 Sep 2008, 2:31 pm
., the insurance giant American International Group finally filed documents with the Securities and Exchange Commission setting forth the terms of its government loan and disclosing the interest that the government will have in it. [read post]
20 Dec 2017, 11:59 am
Securities and Exchange Commission (SEC) published its bold attempt to modernize the disclosure requirements for mining companies that are listed on U.S. stock exchanges or otherwise report to the SEC. [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]
4 Oct 2015, 6:34 am
On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive release to clarify its reading of the whistleblower rules it promulgated in 2011 under Section 21F of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [read post]
6 Feb 2010, 1:57 pm
Two ex- JPMorgan Chase & Co. bankers that the Securities and Exchange Commission is suing over their alleged involvement in certain swap transactions are asking the U.S. [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]
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]
15 Mar 2011, 11:00 pm
On January 25, 2011, the Securities and Exchange Commission (the "SEC") adopted final rules to implement Section 14A of the Securities Exchange Act of 1934 (the "Exchange Act"), which requires public companies to conduct non-binding shareholder advisory votes on executive compensation ("say-on-pay"), the frequency of the say-on-pay vote ("say-on-frequency"), and compensation arrangements in connection with… [read post]
15 Mar 2011, 11:00 pm
On January 25, 2011, the Securities and Exchange Commission (the "SEC") adopted final rules to implement Section 14A of the Securities Exchange Act of 1934 (the "Exchange Act"), which requires public companies to conduct non-binding shareholder advisory votes on executive compensation ("say-on-pay"), the frequency of the say-on-pay vote ("say-on-frequency"), and compensation arrangements in connection with… [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]
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]
12 Feb 2011, 4:21 pm
District Court for the Southern District of New York granted the Securities and Exchange Commission's motion for the permanent injunction late last month. [read post]
19 Aug 2024, 7:33 am
The Securities and Exchange Commission today announced charges against Carl C. [read post]
25 Jun 2009, 7:40 am
The Securities and Exchange Commission plans to address the long-awaited New York Stock Exchange's "broker vote" rule at an open meeting on July 1. [read post]
6 Feb 2015, 9:10 am
Today, the Securities and Exchange Commission (“SEC” or “Commission”) announced the terms of a settlement with four of the Respondents in In the Matter of BDO China Dhaua CPA Co., Ltd. [read post]
6 Apr 2022, 7:09 am
Come meet the SEC and learn about career opportunities. [read post]
10 Sep 2018, 7:19 pm
The Securities and Exchange Commission (SEC) has cautioned that depending on their specific features, ICOs may qualify as offerings of “securities” subject to federal regulation. [read post]
Recent SEC report on cybersecurity preparedness and response serves as warning of future enforcement
14 Nov 2018, 11:38 am
Securities and Exchange Commission (“SEC”) recently provided issuers with a reminder of the potential for enforcement for insufficient cybersecurity. [read post]
