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5 May 2009, 1:31 pm
The Securities and Exchange Commission on Tuesday accused the father-and-son team that operated the Reserve Primary Fund of securities fraud, contending they lied to investors when the fund "broke the buck" last fall and created a near panic in the money market fund industry. [read post]
14 May 2021, 10:15 am
., a Gaithersburg provider of platform technologies for cell engineering, announced Friday it has submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission relating to a proposed dual-listing and public offering of shares of common stock on the Nasdaq Stock Market. [read post]
28 Oct 2011, 4:33 pm
David Tamman, a partner in Nixon Peabody's Los Angeles office from 2007 until 2009, claims the firm abandoned him after he was implicated in a Securities and Exchange Commission investigation into an alleged securities fraud committed by a former client. [read post]
6 May 2022, 2:28 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
22 Sep 2010, 7:36 am
Administrative Law Judge James Kelly is retiring from the Securities & Exchange Commission after 11 years of hearing cases brought by the agency's Division of Enforcement. [read post]
7 Feb 2007, 5:48 am
Last week, the Securities and Exchange Commission approved securities proposed by Zions Bancorp (a Utah banking group) that are designed to value the company's executive stock options. [read post]
24 Jul 2007, 11:40 am
In a regulatory filing, Beazer said that last Friday it has received a formal order from the Securities and Exchange Commission to determine whether anyone or [...] [read post]
15 Jul 2010, 4:32 pm
Tourre, a/k/a "fabulous Fab," a vice president at the firm who was also accused of civil fraud by the Securities and Exchange Commission. [read post]
23 Jun 2018, 1:44 am
Securities & Exchange Commission to decide the scope of primary liability/scheme liability under the federal securities laws. [read post]
4 Jun 2012, 1:30 pm
Aguilar of the Securities and Exchange Commission (SEC) spoke at the recent NASAA/SEC Rule 19(d) Conference in Washington D.C. [read post]
23 Jun 2024, 9:01 pm
Securities & Exchange Commission, Press Release, SEC Charges R.R. [read post]
18 May 2022, 6:31 am
Securities and Exchange Commission. [read post]
18 May 2022, 6:31 am
Securities and Exchange Commission. [read post]
3 Dec 2021, 6:06 am
Securities and Exchange Commission. [read post]
13 Oct 2024, 9:01 pm
On September 17, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) announced the settlement of administrative cease-and-desist orders with 11 institutional investment managers for failures to timely report securities holdings required on Form 13F, as required by Exchange Act Section 13(f) and Rule 13f-1.[1] Two of the managers were also charged with failing to file as “large traders”… [read post]
10 Apr 2017, 3:09 pm
Securities and Exchange Commission (SEC) denied proposals to list and trade shares of two bitcoin trust exchanges: one denial issued on March 10 and the other on March 28, 2017. [read post]
6 Apr 2018, 7:51 am
The Securities and Exchange Commission (the “SEC”) announced that it was awarding a whistleblower more than $2.2 million on April 5, 2018 using the “safe harbor” provision of the Securities Exchange Act of 1943. [read post]
6 Apr 2018, 7:51 am
The Securities and Exchange Commission (the “SEC”) announced that it was awarding a whistleblower more than $2.2 million on April 5, 2018 using the “safe harbor” provision of the Securities Exchange Act of 1943. [read post]
24 Nov 2022, 2:01 am
The Commission will also be able to suspend the mechanism at any time if it leads to unintended market disturbances, especially affecting security of supply, intra-EU gas flows or financial stability. [read post]
18 May 2020, 1:54 pm
In a virtual roundtable on May 13, however, the Senate Homeland Security and Governmental Affairs Committee heard testimony on the task force’s findings from the commission’s co-chairs, Sen. [read post]
