Search for: "Securities and Exchange Commission"
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1 Feb 2008, 7:37 am
Well, that's it, there are no longer any Democrats on the Securities and Exchange Commission. [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]
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]
26 Nov 2018, 10:47 am
Among other things, Exchange Act Section 10, Securities Act Section 17, and the Securities and Exchange Commission’s Rule 10b-5 subject those statements to sanction either by the SEC or by private parties. [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]
26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), that include, among other things, changes to Rule 10b5-1(c)(1)’s affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5 under the Exchange Act. [read post]
26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), that include, among other things, changes to Rule 10b5-1(c)(1)’s affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5 under the Exchange Act. [read post]
6 Apr 2010, 5:42 pm
The US Supreme Court says it will not review the decision by a federal appeals court affirming the US Securities and Exchange Commission’s decision to bar investment adviser David Disraeli from the securities industry. [read post]
Protecting Main Street Investors: Regulation Best Interest and the Investment Adviser Fiduciary Duty
9 Jul 2019, 9:05 am
Securities and Exchange Commission. [read post]
1 Nov 2021, 6:29 am
Securities and Exchange Commission. [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]
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]
16 Feb 2021, 1:22 pm
In January 2021, the Securities and Exchange Commission (SEC) filed a complaint against Eric C. [read post]
13 Mar 2013, 2:46 pm
Today, the Solicitor General filed a motion asking the Supreme Court to dismiss the Securities and Exchange Commission’s petition for a writ of certiorari in SEC v. [read post]
9 Jun 2010, 7:15 am
The Securities and Exchange Commission announced June 4 that within a week, its staff expects to present recommendations on a proposal by… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
6 Sep 2011, 6:00 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
