Search for: "Securities and Exchange Commission"
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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]
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 Feb 2009, 7:28 am
District Court for the Southern District of New York held Jan. 13 (Securities and Exchange Commission v. [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]
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]
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]
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]
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]
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]
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
13 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]
24 May 2007, 1:04 pm
Related Web Resources: Securities and Exchange Commission v. [read post]
15 Jul 2008, 9:28 pm
., “securities”) without making a registration with the United States Securities and Exchange Commission (SEC). [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]
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]
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]
30 Aug 2012, 6:19 am
Securities and Exchange Commission. [read post]
