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14 Jul 2008, 7:36 pm
Under these revisions, Rule 2440 and the interpretive memo now apply to all securities transactions, whether effected over-the-counter or on an exchange. [read post]
4 Jan 2014, 6:00 am
Securities and Exchange Commission. [read post]
19 Aug 2008, 10:33 pm
News release: "Securities and Exchange Commission Chairman Christopher Cox today unveiled the successor to the agency â [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
13 Oct 2018, 7:22 am
Securities and Exchange Commission. [read post]
5 Nov 2019, 6:12 am
Securities and Exchange Commission (SEC) challenging interpretation and guidance put forth by the Commission in August that applies the proxy solicitation rules to the provision of proxy advice. [read post]
19 Oct 2007, 5:15 am
On September 5, 2007, the Securities and Exchange Commission (Commission) initiated a settled inforcement action against the Boston Stock Exchange (BSE), and its former president, James B. [read post]
4 Apr 2007, 8:50 am
Apr. 4, 2007), the court reversed a judgment against the Securities and Exchange Commission after a bench trial. [read post]
29 Sep 2010, 12:44 pm
Within the Act is a new whistleblower provision providing that persons who voluntarily supply “original information” in Securities and Exchange Commission (SEC) or the Commodities Futures Trading Commission (CFTC) enforcement actions resulting in sanctions greater than $1,000,000 are entitled to recover 10 to 30 percent of the amount recovered by the SEC or CFTC. [read post]
14 Nov 2011, 12:49 pm
The Securities and Exchange Commission says it has stepped up its enforcement activities during the 2011 fiscal year ended September 30, filing a record 735 enforcement actions resulting in disgorgements and penalties totaling $2.806 billion, according to InvestmentNews (“SEC sets record in crackdown on advisers, B-Ds”). [read post]
23 Apr 2019, 9:53 am
As we have previously reported, operators of exchanges that engage in transactions involving virtual currency may, in addition to MSB regulation, be subject to oversight by the Securities and Exchange Commission, Commodity Futures Trading Commission and state regulation as money transmitters. [read post]
4 Aug 2016, 1:42 pm
Today, the Municipal Securities Rulemaking Board (MSRB) filed an amendment with the Securities and Exchange Commission (SEC) clarifying the two-year look-back ban on contributions from municipal advisors in the upcoming amendments to MSRB Rule G-37. [read post]
31 Oct 2012, 5:42 am
Securities and Exchange Commission. [read post]
20 Dec 2011, 11:49 am
National Australia Bank, the Court found that securities antifraud provisions applied to transactions in securities listed on domestic exchanges, and domestic transactions in other securities. [read post]
26 Feb 2008, 5:20 am
In connection with its continuing investigation of Hinsdale, Illinois-based adviser Robert Loffredi, SNSFE reports that on February 22, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings against Robert Loffredi. [read post]
10 Jun 2023, 12:02 pm
This week, the Securities and Exchange Commission sued two other major exchanges [...] [read post]
11 Jun 2023, 9:18 am
This week, the Securities and Exchange Commission sued two other major exchanges [...] [read post]
2 Oct 2011, 6:15 am
Securities and Exchange Commission. [read post]
20 Jul 2011, 1:26 pm
The Virginia State Corporation Commission (Securities and Retail Franchising Division) yesterday adopted a policy statement providing guidance to advisers to private funds in light of the June 22, 2011 adoption of final rules adopted by the Securities and Exchange Commission. [read post]
2 Feb 2007, 12:33 am
Data on the risks and returns of individual mutual funds would be available in a new, interactive electronic format with the potential to help investors make better decisions, under a proposal made Wednesday by the Securities and Exchange Commission. [read post]
