Search for: "Securities and Exchange Commission"
Results 1901 - 1920
of 22,487
Sorted by Relevance
|
Sort by Date
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]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
8 Mar 2023, 10:00 pm
On October 26, 2022, the US Securities and Exchange Commission (SEC) announced the adoption of its new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq), to establish listing standards for compensation recovery (clawback) policies. [read post]
20 Mar 2007, 8:32 am
To settle administrative charges made by the Securities and Exchange Commission, Banc of America Securities LLC has agreed to paying $26 million in penalties and disgorgement. [read post]
25 Mar 2008, 5:48 am
An interesting and important recommendation that will help the administration of corporate law is the recommendation on payscales for full-time members of regulatory bodies set up under Acts of the Parliament of India.The Commission has recommended that Chairmen of bodies such as the Securities and Exchange Board of India, the Central Electricity Regulatory Commission and the Competition Commission be paid Rs. 200,000 per month and wholetime members of… [read post]
30 Aug 2012, 6:20 am
Securities and Exchange Commission. [read post]
4 Sep 2018, 6:52 am
The US Securities and Exchange Commission has filed fraud charges against 1 Global Capital LLC, a Florida-based cash advance company, and its ex-CEO Carl Ruderman. [read post]
10 Nov 2015, 6:21 am
Securities and Exchange Commission in the Division of Economic and Risk Analysis. [read post]
14 Aug 2018, 1:32 pm
Earlier this year, the US Securities and Exchange Commission barred ex-RBC broker Thomas Buck from the industry. [read post]
29 Mar 2011, 5:00 am
Fund managers are dealing with Dodd-Frank and the requirements under the Investment Advisers Act made by the Securities and Exchange Commission. [read post]
9 Feb 2022, 8:51 am
The Securities and Exchange Commission today voted to propose rule changes to reduce risks in the clearance and settlement of securities, including by shortening the standard settlement cycle for most broker-dealer transactions in securities from two…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jun 2009, 5:18 pm
Several years after being warned that Bernie Madoff was running a Ponzi Scheme; and several months after people lost billions of dollars; the SEC has finally taken action: WASHINGTON (AP) -- Disgraced money manager Bernard Madoff has been prohibited from working in the securities industry under a settlement with the Securities and Exchange Commission.How Madoff was going to work in the securities industry from prison... [read post]
19 Jun 2019, 5:51 am
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)), which requires broker-dealers and their associated persons who are natural persons to act in the best interest of their retail customers when making a recommendation. [read post]
16 Jun 2023, 8:58 am
In December 2022, the social media world was stunned to learn that federal prosecutors and the Securities and Exchange Commission (SEC) were filing civil and criminal charges against eight social media influencers. [read post]
13 Feb 2011, 5:00 am
In Securities and Exchange Commission (“SEC”) v. [read post]
1 Nov 2021, 6:29 am
Securities and Exchange Commission. [read post]
