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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]
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]
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]
2 Oct 2011, 6:15 am
Securities and Exchange Commission. [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]
4 Jan 2014, 6:00 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]
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]
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]
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]
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]
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]
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]
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]
6 Oct 2020, 6:09 am
Securities and Exchange Commission. [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]
23 Jan 2003, 12:43 pm
[JURIST] The US Securities and Exchange Commission held an Open Meeting Thursday to set new rules of conduct for attorneys who appear and practice before the Commission. [read post]
