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18 May 2022, 6:31 am
Securities and Exchange Commission. [read post]
3 Dec 2021, 6:06 am
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]
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]
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]
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]
16 Dec 2024, 9:03 pm
True, there are instances in which the broker under scrutiny might also be also under investigation by the US Securities and Exchange Commission (SEC) over the same or similar allegations of wrongdoing. [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]
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]
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]
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]
10 Nov 2015, 6:21 am
Securities and Exchange Commission in the Division of Economic and Risk Analysis. [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 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]
