Search for: "In Re Securities and Exchange Commission"
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5 Oct 2011, 1:45 pm
It's been more than 14 months since the signing of the Dodd-Frank Act, which directed the Securities and Exchange Commission to establish a new Investor Advisory Committee.So far, the SEC has not publicly announced a timetable for creating this panel, and Commissioner Luis Aguilar and some investors are asking why. [read post]
28 Feb 2018, 10:00 am
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
15 Mar 2018, 7:16 am
The National Securities Markets Improvement Act of 1996 re-allocated and clarified the division of duties between federal and state securities regulators, including by defining the term “covered securities. [read post]
23 May 2022, 8:42 am
The Securities and Exchange Commission (SEC) understands that some whistleblowers may have participated in the wrongdoing at issue. [read post]
18 May 2022, 2:12 pm
If you’re aware of a SPAC that is defrauding investors, you may be wondering if you should go to the Securities and Exchange Commission (SEC) and become a whistleblower. [read post]
25 Jun 2007, 8:18 am
All five commissioners of the Securities and Exchange Commission will appear at a committee hearing in the House of Representatives. [read post]
25 Jan 2021, 10:59 am
The Commission and EU Member States will promote the exchange of health data through improved interoperability between relevant IT systems and infrastructure and ensuring that health data is “FAIR”—findable, accessible, interoperable and reusable. [read post]
11 Jun 2008, 4:33 am
The Securities and Exchange Commission's no-action letters do not preclude them from re-examining Overstock.com's financial disclosures and taking possible future action against the company and him despite the SEC's recent actions. [read post]
8 Nov 2011, 3:07 pm
In any event, here is the full exchange: GRAHAM: Thank you Mr. [read post]
1 May 2009, 12:49 pm
Securities and Exchange Commission. [read post]
20 Dec 2011, 10:25 am
Securities and Exchange Commission. [read post]
21 Oct 2022, 7:52 am
So why then do the Securities Exchange Commission (SEC) and other agencies keep warning consumers about Bitcoin-related frauds? [read post]
5 May 2010, 1:19 pm
On April 21, 2010, the Securities and Exchange Commission filed an action in the U.S. [read post]
15 May 2008, 12:58 pm
 When you buy an exchange-traded fund, you're buying a slice of a diversified portfolio of stocks. [read post]
2 Sep 2022, 7:59 am
As reported in the Wall Street Journal, employees of tech companies in Silicon Valley and elsewhere are increasingly coming forward to the Securities and Exchange Commission (SEC). [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
7 Nov 2011, 5:07 am
You’ve probably heard the charges made by politicians and activists that the Securities and Exchange Commission is ineffective and not bringing charges against those who caused the 2008 financial crisis. [read post]
19 Dec 2022, 6:49 am
In May 2022, the Securities and Exchange Commission (SEC) announced that it had filed an emergency action to freeze the assets of StraightPath Venture Partners and other defendants. [read post]
2 Apr 2020, 4:14 pm
The Commission recognized that the need to comply with Exchange Act regulations pertaining to transfer agents under Section 17A and Section 17(f) may present compliance issues by those affected by COVID-19 (Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder, Release No. 34-88448, March 20, 2020). [read post]
15 Jun 2023, 4:28 pm
Earlier this week, the Securities and Exchange Commission (“SEC”) published an update to its rulemaking agenda indicating that it does not plan to approve two proposed cyber rules until at least October 2023 (the agenda’s timeframe is an estimate). [read post]
