Search for: "Securities and Exchange Commission"
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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]
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]
2 Oct 2011, 6:15 am
Securities and Exchange Commission. [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]
11 Jun 2023, 9:18 am
This week, the Securities and Exchange Commission sued two other major exchanges [...] [read post]
10 Jun 2023, 12:02 pm
This week, the Securities and Exchange Commission sued two other major exchanges [...] [read post]
11 Mar 2009, 4:21 pm
Here is the abstract: The Securities and Exchange Commission in recent years has often employed its remedial powers to shape corporate governance norms. [read post]
17 May 2009, 8:37 am
This front page story in today's Washington Post concerns a report on the alleged conduct of employees of 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]
23 Apr 2010, 9:19 am
What was going on at the Securities & Exchange Commission while the financial world teetered on the brink? [read post]
16 Dec 2009, 6:50 am
Securities and Exchange Commission (SEC) announced on Monday that it is reopening the comment period for its proposals on shareholder director nominations. [read post]
6 Oct 2020, 6:09 am
Securities and Exchange Commission. [read post]
26 Aug 2019, 3:08 pm
On August 19, 2019, INX Limited (together with its affiliates, “INX”) filed a Form F-1 with the Securities and Exchange Commission (“SEC”) stating their intention to raise up to approximately $130 million through a registered initial public offering (“IPO”). [read post]
23 Aug 2018, 5:56 pm
Five unregistered brokers and their companies are now facing US Securities and Exchange Commission charges accusing them of selling Woodbridge securities to investors even though they were not registered as broker-dealers and therefore were not allowed to sell these securities. [read post]
24 Mar 2011, 1:07 pm
According to an article in Investment News, a website has been launched, www.shareowners.org, in order to allow the average investor can voice opposition to the proposed budgets cuts of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
10 Mar 2020, 11:33 am
In connection with the order issued by the Securities and Exchange Commission on March 4 providing filing relief for companies that are affected by the coronavirus, the Commission reminded all companies to be vigilant regarding their disclosure obligations related to the evolving coronavirus scenario. [read post]
16 Aug 2007, 4:08 am
The video game maker Take-Two Interactive said Wednesday that it might face civil charges and fines from the Securities and Exchange Commission for backdating stock options. [read post]
13 Dec 2010, 2:05 pm
Today's Wall Street Journal that whistleblowers reporting financial fraud shouldn't be expecting a quick payout: The Dodd-Frank law dangles a pile of money in front of whistleblowers who tip off the Securities and Exchange Commission and Commodity Futures Trading Commission... [read post]
4 May 2010, 7:19 am
The Securities & Exchange Commission has named agency veteran Richard Levine associate general counsel for legal policy in the Office of the General Counsel. [read post]
3 May 2011, 5:50 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission are struggling to fill crucial jobs, enforce new rules, upgrade market surveillance technology and pay for travel. [read post]
