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16 Jul 2024, 9:01 pm
In Securities and Exchange Commission v. [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Friday, March 16, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, SEC, Securities regulation, Transparency Proposed Amendments to Public Reporting of Fund Liquidity Information Posted by Hester M. [read post]
1 Jul 2011, 8:57 am
A U.S. district court judge granted Morgan Keegan’s motion for summary judgment, dismissing the Securities and Exchange Commission allegations that the brokerage firm misled investors in connection with its sales of $2.2 billion in auction-rate securities, according to an InvestmentNews article entitled “SEC claim that Morgan Keegan misled ARS investors is nixed,” and David Benoit’s and Suzanne Barlyn’s Wall Street Journal article… [read post]
31 May 2007, 8:07 pm
Securities and Exchange Commission (SEC), expressing his concern with the SEC's Office of Global Security Risk (OGSR). [read post]
24 Feb 2021, 6:01 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]
17 Aug 2013, 11:52 am
The European Securities and Markets Authority (ESMA) has asked the European Commission to allow for a later start date for reporting of exchange-traded derivatives trades to trade repositories. [read post]
21 Apr 2015, 12:56 pm
The Securities and Exchange Commission (SEC) announced on April 16, 2015 that it filed a complaint in the United States District Court for the Southern District of New York alleging that Michael J. [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]
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]
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]
28 Jan 2010, 9:22 am
Nothing that the Commission does today should be construed as weighing in on those topics. [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
4 Jan 2014, 6:00 am
Securities and Exchange Commission. [read post]
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 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]
31 Oct 2012, 5:42 am
Securities and Exchange Commission. [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]
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]
