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23 Aug 2021, 4:42 pm
The Securities and Exchange Commission issued a final rule on August 23, 2021, which removes a regulatory requirement to provide a computer terminal in the Commission’s Public Reference Room for persons who cannot access electronic records that the agency proactively publishes pursuant to FOIA. [read post]
16 Aug 2012, 8:21 am
("Mizuho"), a U.S. subsidiary of Japan-based Mizuho Financial Group and member of FINRA, has agreed to settle charges by the Securities and Exchange Commission ("SEC") that it misled investors about a collateralized debt obligation ("CDO") named Delphinus CDO 2007-1 ("Delphinus"). [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]
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]
7 Jan 2011, 8:29 am
After eight complaints, and two regulatory proceedings, the Securities and Exchange Commission finally takes action and settles claims against stockbroker for defrauding disabled group of elderly nuns. [read post]
3 Sep 2013, 8:23 am
A “penny stock” is defined by the Securities and Exchange Commission (SEC) as a security issued by a very small company, micro-cap or less than $100 million in market capitalization, and trades at less than $5 per share. [read post]
10 Feb 2009, 7:28 am
District Court for the Southern District of New York held Jan. 13 (Securities and Exchange Commission v. [read post]
1 Jun 2010, 8:29 pm
Also that day, the US Securities and Exchange Commission filed its securities fraud complaint against the two broker-dealers. [read post]
13 Oct 2018, 7:20 am
Securities and Exchange Commission. [read post]
14 Oct 2008, 5:58 am
Securities and Exchange Commission Division of Enforcement, Enforcement Manual, Office of Chief Counsel, October 6, 2008: "The Enforcement Manual ( â [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
3 Oct 2011, 12:30 pm
Berger was indicted for conspiracy to commit securities fraud and wire fraud for his role in an international pump and dump stock scheme, the Securities and Exchange Commission, or SEC, has settled failure to supervise charges against Bergerandrsquo;s former employer, Gilford Securities Inc. of New York. [read post]
29 Jun 2009, 8:02 am
The Securities and Exchange Commission unveiled conspiracy charges against brokerage firm Cohmad Securities and four individuals with securities fraud in association with Bernie Madoff’s Ponzi scheme, the Washington Post reports. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
FORMER PORTFOLIO MANAGER AT HEDGE FUND INVESTMENT ADVISOR DIAMONDBACK CAPITAL MANAGEMENT SUED BY SEC
1 Sep 2011, 5:55 am
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
