Search for: "Securities and Exchange Commission"
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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]
18 May 2022, 6:31 am
Securities and Exchange Commission. [read post]
18 May 2022, 6:31 am
Securities and Exchange Commission. [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]
3 Dec 2021, 6:06 am
Securities and Exchange Commission. [read post]
30 Aug 2012, 6:20 am
Securities and Exchange Commission. [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]
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]
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]
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]
10 Nov 2015, 6:21 am
Securities and Exchange Commission in the Division of Economic and Risk Analysis. [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]
6 Aug 2009, 5:08 am
Attorney Dan Hurson used to work for the Securities and Exchange Commission (SEC). [read post]
