Search for: "In Re Securities and Exchange Commission"
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2 May 2017, 9:48 am
The findings stated that Althar engaged in high-volume trading to generate commissions and over- concentrated the customer’s accounts in risky securities, despite the fact that the customer was close to retirement and only wanted low-risk investments. [read post]
8 Nov 2019, 3:00 am
Securities and Exchange Commission, failing to include about US$2.46 billion in investments. [read post]
2 Jan 2024, 5:50 am
Still, he has not ruled out the possibility should he win re-election. [read post]
29 Jan 2017, 12:40 pm
The firm also failed to re-evaluate the suitability of these products, notwithstanding the risks of non-traditional ETFs such as the risks associated with a daily reset, leverage and compounding. [read post]
22 Sep 2016, 9:30 pm
” The Securities and Exchange Commission (SEC) announced an award of $11 million to an anonymous whistleblower who informed the Commission’s Office of the Whistleblower of fraud. [read post]
5 Mar 2020, 2:03 am
To help – we’re posting memos about COVID-19 implications in our “Risk Management” Practice Area. [read post]
14 Feb 2012, 11:28 am
Goldman alone met with the Securities Exchange Commission six times within three months to discuss its opposition to the rule. [read post]
15 Dec 2023, 5:32 am
National Security Council Spokesperson John Kirby in a White House press briefing said he does not “want to put a time stamp” on scaling down of the war, adding “I think you can understand the last thing we want to do is telegraph to Hamas what they’re likely to face in the coming weeks and months. [read post]
22 Dec 2023, 6:00 am
Court of Appeals for the Third Circuit to order the Securities and Exchange Commission to write rules governing the treatment of crypto assets as securities. [read post]
24 Jul 2020, 6:23 am
"I said, You're kidding. [read post]
3 Mar 2022, 12:19 pm
We’re coming for your ill-begotten gains. [read post]
3 Mar 2022, 12:19 pm
We’re coming for your ill-begotten gains. [read post]
11 Jul 2009, 7:55 am
Set up on December 29th, 2008 and jointly funded by TEDA State-owned Assets Operation Company and Vimicro International Corporation, Vimicro Electronics is a recognized leader in surveillance and digital security industry of the TBNA and a premier supplier of core technologies in security and surveillance market. [read post]
18 Feb 2022, 3:00 am
Now that money is gone and while the pandemic has ebbed it has not disappeared, and new challenges have arisen, including rising security threats, supply-chain disruptions, and escalating costs for basic materials such as paper ballots. [read post]
5 Jul 2024, 6:21 pm
The Commission Staff Working Document accompanying the communication [read post]
6 Apr 2020, 1:36 pm
If we’re lucky enough to hire you, you’ll be a part of the Center’s four-person leadership team, where you’ll help shape the Center’s overall programming and strategy. [read post]
12 Nov 2023, 1:00 am
Since They Were First Issued In 2012, L-Bonds Have Been Very Risky And Illiquid GWG began selling what it called “Renewable Secured Debentures” (which it would later re-name “L-Bonds”) in 2012. [read post]
28 Feb 2019, 9:30 pm
Securities and Exchange Commission (SEC) asked a federal district court to sanction Tesla CEO Elon Musk for violating the terms of his securities fraud settlement agreement with the SEC. [read post]
24 Jan 2019, 9:30 pm
Securities and Exchange Commission, which cannot approve other forms of IPOs during the shutdown. [read post]
25 Jan 2018, 9:30 pm
Securities and Exchange Commission (SEC) announced that it had charged six accountants—including former employees of the Public Company Accounting Oversight Board (PCAOB)—over a scheme to “misappropriate and use confidential information” that PCAOB was planning to audit accounting firm KPMG. [read post]
