Search for: "In Re Securities and Exchange Commission"
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8 Nov 2023, 9:56 am
The AMLA fortified existing laws, such as the Bank Secrecy Act (BSA), as well as a somewhat anemic whistleblowing program, to align it more closely with the highly-successful Securities and Exchange Commission (SEC) whistleblower program. [read post]
10 Sep 2010, 5:39 am
Katz is a former senior counsel in the enforcement division of the Securities and Exchange Commission, where she served from 1990 to 1998. [read post]
12 Jun 2010, 6:24 am
Cette entreprise cotée à New York (voir ici rapport présenté devant la Securities Exchange Commission), Francfort et Toronto a pu réactiver une concession qui avaient été octroyée par le Panama par un contrat-loi en 1997 (Ley 9 de 1997) mais qui était restée sous-appliquée en raison des bas prix de minéraux dans le marché. [read post]
15 Dec 2017, 9:01 am
Annual Re-Certification of CFTC Exemptions. [read post]
15 Dec 2017, 9:01 am
Annual Re-Certification of CFTC Exemptions. [read post]
14 Feb 2012, 2:33 pm
In addition to creating the CFPB and the FIO, Dodd-Frank directed the Securities and Exchange Commission (SEC) to study the need for a new, uniform, federal fiduciary standard of care for broker-dealers and investment advisers and to apply such a uniform standard if it deemed necessary. [read post]
7 Jan 2012, 8:29 am
Who wins this particular exchange? [read post]
11 Dec 2009, 4:56 am
However, e-STOP is not tailored to restrict only â€" or even primarily â€" speech that may be related to the commission of such crimes. [read post]
4 Jan 2018, 10:59 am
The hotly-debated EU e-Privacy Regulation, when finalized, also will require companies to re-evaluate their practices for cookies, direct marketing, and other online marketing practices. [read post]
24 May 2016, 2:11 pm
Both attacks consisted of car bombs and suicide attackers, and the attack on the hospital in Jableh was especially deadly, killing three doctors and nurses while also placing the hospital out of commission. [read post]
8 Jul 2016, 12:40 pm
Privacy Shield framework cleared a final hurdle today, passing the European Commission. [read post]
9 Aug 2018, 9:30 pm
Securities and Exchange Commission (SEC) adopted amendments to its regulations of alternative trading systems (ATS)—trading platforms not required to register as “exchanges”—that trade National Market System (NMS) stocks. [read post]
21 May 2012, 9:05 pm
For the record, the plaintiffs are alleging the following: The investors claim that the group made false and misleading statements about Gulf’s finances, withheld relevant business and financial information, and engaged in accounting fraud in its filings with the Securities and Exchange Commission. [read post]
24 Feb 2012, 7:00 am
The Commission has also sued Levan for direct violations of Section 13(b)(5) of the Exchange Act. [read post]
17 Jul 2017, 1:26 pm
Securities an Exchange Commission (SEC). [read post]
Analysis: The Role of Investors in Black's DownfallSubmitted by: Ted Allen, Director of Publications
23 Jul 2007, 9:53 am
Tweedy, Browne also demanded an investigation in a filing with the Securities and Exchange Commission. [read post]
27 Dec 2018, 9:30 pm
Securities and Exchange Commission (SEC) issued its first fines against automated “robo” financial advisers for violating the Investment Advisers Act of 1940. [read post]
7 Jun 2018, 9:30 pm
Securities and Exchange Commission (SEC) Chairman Jay Clayton announced in an exclusive interview with CNBC that initial coin offerings (ICOs)—sales of digital asset tokens from ventures to investors—are securities offerings and will be regulated as securities by the SEC. [read post]
28 Nov 2024, 9:05 pm
Securities and Exchange Commission (SEC) reviews the expulsion order. [read post]
29 Aug 2024, 9:05 pm
Securities and Exchange Commission to comply with anti-money laundering and counter terrorism financing requirements. [read post]
