Search for: "Securities and Exchange Commission"
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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]
26 May 2009, 1:57 pm
Two Texas men defrauded investors of some $19.5 million by faking bank records to show that their business, Global One, achieved annual returns of more than 23 percent in foreign exchange trading, the Securities and Exchange Commission said Tuesday. [read post]
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]
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]
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]
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]
19 Aug 2024, 7:33 am
The Securities and Exchange Commission today announced charges against Carl C. [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]
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]
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]
12 Sep 2017, 8:48 am
View European Commission report on temporary exclusion of exchange-traded derivatives from scope of Articles 35 and 36 of MiFIR, 11 September 2017 [read post]
24 Jul 2014, 6:20 am
Securities and Exchange Commission. [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]
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]
12 Mar 2021, 5:54 am
Data Protection Commission of Ireland Publishes Annual Report Source: ComplexDiscovery The post Compromised? [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]
6 Apr 2022, 7:09 am
Come meet the SEC and learn about career opportunities. [read post]
15 Apr 2009, 2:12 pm
Securities and Exchange Commission into corruption at that state's pension fund, The New York Times reported Wednesday. [read post]
