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25 Mar 2011, 1:05 am
The China Insurance Regulatory Commission (CIRC) has revealed that Shanghai has applied to the central government for approval to establish an insurance exchange, as part of Shanghai's drive to become a major international financial hub by 2020. [read post]
10 Jan 2024, 3:30 am
On January 10, 2024, the Securities and Exchange Commission (“SEC”) released a statement announcing the approval of the listing and trading of spot bitcoin exchange-traded product shares on national securities exchanges. [read post]
16 Nov 2010, 6:30 am
On Friday, The Securities and Exchange Commission will be considering rules that should be of interest to private investment fund managers. [read post]
10 Jul 2007, 6:22 pm
The Securities and Exchange Commission has published a 121-page proposal for dropping the requirement that non-U.S. companies reconcile to the generally accepted accounting principles (GAAP) as required by U.S. firms in financial reports. [read post]
1 Dec 2016, 6:22 am
The Securities and Exchange Commission (“SEC”) issued public administrative and cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”) and Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”) (the “Order”) against EZTD Inc. [read post]
1 Dec 2016, 6:22 am
The Securities and Exchange Commission (“SEC”) issued public administrative and cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”) and Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”) (the “Order”) against EZTD Inc. [read post]
27 Feb 2011, 6:35 pm
The Securities and Exchange Commission has also filed a civil complaint related to this case. [read post]
24 May 2007, 1:04 pm
Related Web Resources: Securities and Exchange Commission v. [read post]
9 Jun 2020, 6:22 am
As noted in our earlier alert concerning securities enforcement actions, as COVID-19 spread swiftly across the United States in the early months of 2020, the Securities and Exchange Commission (SEC) began issuing warnings about potential pandemic-related disclosures, fraud and disruptions to the financial markets. [1] On January 30, 2020, SEC Chairman Jay Clayton announced that the SEC staff would monitor and, to the extent necessary, provide guidance regarding… [read post]
8 Sep 2006, 8:08 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] said Thursday that its Division of Corporation Finance [official website] will begin drafting an amendment [press release] to an SEC Rule under the Securities Exchange Act of 1934 [text, PDF] which says a company can deny its shareholders the right to vote on a proposal that "relates to an election," [read post]
15 Jan 2015, 12:26 pm
By: Mark Tarallo The Securities and Exchange Commission (“SEC”) is charged with enforcing the accounting provisions of the Foreign Corrupt Practices Act (“FCPA”). [read post]
28 Oct 2009, 6:11 am
The Investor Protection Act [HR 3817 text, PDF], sponsored by Paul Kanjorski (D-PA) [official website], modifies the Securities Exchange Act of 1934 [text, PDF], giving the Securities and Exchange Commission (SEC) [official website] the [read post]
21 Jun 2012, 1:22 pm
The Securities and Exchange Commission (SEC) has adopted a final rule (pdf) implementing Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”), (pdf) which directs national securities exchanges/associations (e.g., NYSE, NASDAQ) to establish listing standards for public company boards of directors and compensation advisers. [read post]
2 Apr 2010, 6:04 pm
Related Web Resources: Commission Obtains Asset Freeze and Appointment of a Receiver in Alleged $3.5 Million Life Settlement Fraud, SEC.gov, March 22, 2010 Securities and Exchange Commission (PDF) [read post]
15 Jul 2008, 9:28 pm
., “securities”) without making a registration with the United States Securities and Exchange Commission (SEC). [read post]
10 Jan 2024, 9:02 pm
Yesterday afternoon, the Commission approved a series of rule changes that will allow for the listing and trading of the 11 bitcoin ETFs that were the subject of applications by national securities exchanges — specifically, NYSE Arca, Nasdaq, and Cboe BZX Exchange. [read post]
23 Jul 2020, 6:06 am
Securities and Exchange Commission. [read post]
7 Sep 2017, 7:29 am
Securities and Exchange Commission (SEC). [read post]
7 Sep 2017, 7:29 am
Securities and Exchange Commission (SEC). [read post]
23 Nov 2011, 6:23 am
The Department of Justice and the Securities and Exchange Commission recently announced their commitment to investigate and prosecute pharmaceutical and medical device companies that pay bribes to government physicians and hospital administrators in foreign countries to secure business. [read post]
