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10 Sep 2013, 9:31 am
Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange Act of 1934] reaches the use of a manipulative or deceptive device or contrivance only in connection with the purchase or sale of a security listed on an American stock exchange, and the purchase or sale of any other security in the United States. [read post]
30 Aug 2012, 6:19 am
Securities and Exchange Commission. [read post]
1 Aug 2017, 5:53 pm
On July 25, 2017, the US Securities and Exchange Commission (“SEC”) issued an investigative report stating that US securities laws apply to sales of securities in the United States purchased with virtual currencies or distributed with blockchain technology. [read post]
16 Dec 2011, 4:05 pm
The Securities and Exchange Commission has charged six ex-executives of the Federal Home Loan Mortgage Corporation (Freddie Mac) and the Federal National Mortgage Association (Fannie Mae) with securities fraud. [read post]
9 Jul 2011, 6:45 am
Securities and Exchange Commission. [read post]
18 Dec 2023, 8:53 am
The draft legislation follows a final report that the European Securities and Markets Authority published in December 2022. [read post]
18 Dec 2007, 4:53 am
According to BusinessWeek, the Securities & Exchange Commission and the U.S. [read post]
4 Sep 2018, 4:29 am
On 3 September 2018, the European Commission (Commission) published a communication (dated 10 August 2018) on its intention to endorse, with amendments, the draft amendment to the regulatory technical standard submitted by the European Securities and Markets Authority (ESMA) on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates (the draft RTS amendment). [read post]
10 Apr 2024, 3:10 pm
Securities and Exchange Commission (“SEC”) adopted two new rules with a 3-2 vote along party lines. [read post]
8 Oct 2010, 3:19 pm
Gawker: Larry Wilcox — better known as Ponch's sidekick Jon from the 70's-80's cop show CHiPs — was caught in a sting operation by FBI agents and the Securities and Exchange Commission allegedly seeking kickbacks in exchange for penny-stock manipulation. [read post]
28 Dec 2010, 10:11 am
The New York Times' Dealbook says though it's not clear exactly what they're worried about, the Securities and Exchange Commission is looking into the growing tide of exchanges set-up to trade shares in private companies that include Facebook, Twitter and LinkedIn. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
5 Nov 2019, 1:45 pm
Securities and Exchange Commission. [read post]
21 Nov 2019, 6:27 am
Securities and Exchange Commission, [1] a case that challenges the SEC’s long-held position that it has authority to seek disgorgement for securities laws violations as a form of equitable relief. [read post]
24 Jul 2024, 1:07 pm
Securities and Exchange Commission has issued Boston based Allarity Therapeuticswith a Wells Notice over alleged violations of federal securities law, the Boston-based biotech announced in a business update on Monday. [read post]
