Search for: "In Re Securities and Exchange Commission"
Results 1741 - 1760
of 2,834
Sorted by Relevance
|
Sort by Date
18 Sep 2008, 4:25 pm
Look, a few years ago, a Republican appointee to the Securities Exchange Commission, Bill Donaldson, ordered hedge funds to simply register with the SEC. [read post]
15 May 2020, 2:00 am
Securities and Exchange Commission have surged in recent weeksReuters The agency has received over 4,000 such tips since mid-March, representing a 35% increase over the same period a year ago, Steven Peikin, co-director of the SEC’s Enforcement Division, told attendees of a virtual conference.https://uk.reuters.com/article/usa-sec-enforcement/tips-to-us-securities-and-exchange-commission-have-surged-in-recent-weeks-official-idUKL1N2CU2MJ… [read post]
7 Mar 2024, 5:28 am
Securities and Exchange Commission v. [read post]
30 Jul 2024, 9:05 pm
ENDNOTES [1] Securities and Exchange Commission (SEC) (2000) Final Rule: Selective Disclosure and Insider Trading. https://www.sec.gov/rules/final/33-7881.htm [2] For example, see the following two studies: Campbell J.L., Twedt B.J., Whipple B.C. (2021). [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
31 Mar 2021, 3:02 am
Concurring in part and dissenting in part in that case, Justice Breyer again remarked that this affects “the regulation of securities sales” because, “the regulatory spheres in which the Securities and Exchange Commission … operate[s]” is “defined by content. [read post]
27 Sep 2019, 4:49 pm
In the United States, Facebook has been hit by a $5 billion fine from the Federal Trade Commission and a $100 million fine from the Securities and Exchanges Commission over Cambridge Analytica data abuses. [read post]
4 May 2021, 1:08 pm
Securities and Exchange Commission (the “SEC”) . [read post]
12 Feb 2018, 5:00 am
Last week Fairplay Canada filed an application with the Canadian Radio-television and Telecommunications Commission (CRTC), asking for a new tool to help Canadian creators to combat online theft of their content by illegal piracy websites. [read post]
27 Feb 2012, 9:00 pm
Smith & Nephew paid a monetary penalty of $16.8MM to the DOJ and $5.4MM to the Securities and Exchange Commission (SEC) as a civil penalty, all for a total of $22.2MM in fines and penalties. [read post]
8 May 2012, 6:42 am
Securities and Exchange Commission to appoint a receiver (the “US Receiver”) over the assets of SIB, Allen Stanford and other individuals who were allegedly running the scheme. [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
23 Aug 2011, 3:13 pm
Michael served a 22-month prison term and paid $600 million in fines and restitution.As part of a settlement in a related civil matter, the Securities and Exchange Commission permanently barred the two brothers from the securities industry. [read post]
1 Apr 2021, 11:30 am
A congressionally-commissioned study by the Government Accountability Office (GAO) published in February 2019 essentially supported that view. [read post]
7 Mar 2016, 4:09 pm
He also says; “…as long as both sides are unhappy, it’s an indication … that we’re doing our job. [read post]
28 Jul 2010, 2:19 pm
When goods are detained and rejected at the border, destruction, rather than re-exportation, now becomes the default mechanism for U.S. [read post]
23 Oct 2011, 9:40 pm
The Kat just wants to say "hello" to the newcomers and to assure them that they're very welcome. [read post]
21 Jun 2009, 5:00 pm
The Securities and Exchange Commission (SEC) filed a civil case against Stanford and several Stanford International Bank executives in February, so Friday's indictment had long been expected. [read post]
22 Jun 2009, 5:07 am
The Securities and Exchange Commission (SEC) filed a civil case against Stanford and several Stanford International Bank executives in February, so Friday's indictment had long been expected. [read post]
