Search for: "U. S. Securities and Exchange Commission"
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7 Dec 2021, 9:48 am
Exchange Letters and Diplomatic Jabs over English Channel Migrant Crossing Disaster appeared first on IELR Blog. [read post]
5 Apr 2018, 12:29 pm
§78u–6(h)(1), includes a person who does not report information to the Securities and Exchange Commission. [read post]
27 Feb 2013, 1:25 pm
The Securities and Exchange Commission (“SEC”) had long maintained that, in civil enforcement proceedings, the time within which it could initiate actions seeking penalties did not begin to run until the fraud was discovered. [read post]
26 Apr 2022, 9:01 pm
Thus, in January, the Commission proposed a new definition for “exchange” that would cover additional fixed income platforms and some systems that bring together buyers and sellers for other securities asset classes.[21] In addition, I’ve asked staff to consider ways to increase fair access to electronic trading platforms that would fall within the expanded definition of “exchange,” with the goal of making the benefits of these… [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
13 May 2016, 6:02 am
Last month the Securities and Exchange Commission (SEC) instituted and simultaneously settled an administrative enforcement case in which a civil penalty of $225,000.00 was assessed against Cambridge Investment Research Advisors, Inc. [read post]
20 Sep 2019, 8:59 am
According to Salzgaber, INTERPOL has adopted the USNCB’s model under a program called “MILEX” or Military to Law Enforcement Exchange. [read post]
20 Sep 2019, 8:59 am
According to Salzgaber, INTERPOL has adopted the USNCB’s model under a program called “MILEX” or Military to Law Enforcement Exchange. [read post]
4 Mar 2012, 2:00 pm
Conflict of rights Sarah Plaka on the Halsbury’s Law Exchange blog takes issue with the comments of Sir Trevor Philips, head of the Equality and Human Rights Commission, made at a seminar on “super-diverse” societies. [read post]
24 Jun 2010, 2:43 pm
Securities and Exchange Commission’s authority, but only with private investors’ lawsuits.) [read post]
2 May 2018, 1:02 pm
Securities and Exchange Commission (SEC) is a key player in the regulatory landscape. [read post]
5 Dec 2019, 8:30 am
The draft RTS, found in ESMA’s final report, comprises of minor amendments that have been made to the Prospectus RTS Regulation including: pursuant to Article 18 of the Prospectus RTS Regulation, issuers of securities convertible or exchangeable into third party shares are required to publish a supplement to their prospectus. [read post]
6 Feb 2018, 7:24 am
China Economic and Security Review Commission was created on October 30, 2000 by the Floyd D. [read post]
5 Jul 2022, 6:29 am
Securities and Exchange Commission by Senators Schatz, Warren, Whitehouse, and five other U.S. [read post]
5 Jul 2022, 6:29 am
Securities and Exchange Commission by Senators Schatz, Warren, Whitehouse, and five other U.S. [read post]
8 Feb 2010, 5:00 am
Third, there is room for some regulatory intervention both by the Securities and Exchange Commission and Congress. [read post]
27 Jan 2016, 1:32 pm
FINRA determines what portions of the CRD filings become publicly available on BrockCheck. [2] Securities and Exchange Commission (2015 September 25). [read post]
5 Jun 2023, 9:01 pm
On May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted rules to require more detailed qualitative and quantitative disclosure from reporting issuers regarding their share repurchases. [read post]
9 Nov 2014, 6:46 pm
28 U. [read post]
25 Sep 2009, 7:54 am
Securities and Exchange Commission staff made it clear that they believe that they have ample evidence of price-fixing and bid-rigging of municipal derivatives by JP Morgan, Bear Stearns Cos., Bank of America NA and UBS. [read post]
