Search for: "Securities and Exchange Commission"
Results 1901 - 1920
of 22,358
Sorted by Relevance
|
Sort by Date
23 May 2009, 1:38 am
Securities regulation was much on my mind this semester, thanks to an invitation to present on the early years of the Securities and Exchange Commission to the Tobin [read post]
26 Sep 2008, 7:35 pm
Enforcement attorneys at the Securities and Exchange Commission are known for being straight up, but lawyer Scott D. [read post]
16 Apr 2010, 11:40 am
The Securities and Exchange Commission is looking closely at other mortgage security deals made in cooperation with investors betting against the housing market in the wake of its civil lawsuit against Goldman Sachs, the agency's enforcement head said on Friday. [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]
1 Dec 2010, 5:51 am
Going Easy: The Securities and Exchange Commission showed leniency toward Bank of America in penalizing the firm for securities law violations last year because the financially weakened bank was on taxpayer-backed life support, the Washington Post reports. [read post]
18 Sep 2008, 11:27 am
Hedge funds, known for their secrecy, are likely to be none too pleased with a Securities and Exchange Commission proposal for a disclosure rule that would require hedge funds and other large investors to disclose their short positions. [read post]
23 Jun 2024, 9:01 pm
Securities & Exchange Commission, Press Release, SEC Charges R.R. [read post]
28 Jul 2023, 12:26 pm
The Securities Exchange Commission recently adopted regulations which will have an impact on publicly traded hotel companies that suffer a data breach. [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as… [read post]
20 Dec 2021, 11:56 am
Securities and Exchange Commission on December 17 has reportedly fined J.P. [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]
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]
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]
30 Aug 2012, 6:20 am
Securities and Exchange Commission. [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]
6 Aug 2009, 5:08 am
Attorney Dan Hurson used to work for the Securities and Exchange Commission (SEC). [read post]
1 Feb 2008, 7:37 am
Well, that's it, there are no longer any Democrats on the Securities and Exchange Commission. [read post]
18 May 2022, 6:31 am
Securities and Exchange Commission. [read post]
