Search for: "In Re Securities and Exchange Commission"
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28 Jul 2020, 6:14 am
The Dodd-Frank Act also required the establishment of the Securities and Exchange Commission (SEC) Whistleblower Program and the Commodity Futures Trading Commission (CFTC) Whistleblower Program. [read post]
18 Nov 2021, 9:03 pm
Securities and Exchange Commission (SEC) finalized a universal proxy rule, which allows investors who vote by proxy, rather than in-person, to vote for different combinations of directors who are competing against each other. [read post]
15 Sep 2016, 9:30 pm
WHAT WE’RE READING THIS WEEK The U.S. [read post]
20 Oct 2022, 9:47 pm
Securities and Exchange Commission should partner with the Commodity Futures Trading Commission to create a new self-regulatory organization funded by industry participants. [read post]
31 Jul 2013, 9:50 pm
In the U.S., the Securities and Exchange Commission regularly issues warnings to people to be careful of a new fraud. [read post]
31 Jul 2013, 9:50 pm
In the U.S., the Securities and Exchange Commission regularly issues warnings to people to be careful of a new fraud. [read post]
26 Mar 2007, 7:42 am
Profile of a cliff; falling off same The California company said in a filing with the Securities and Exchange Commission yesterday that all of its lenders have either pulled its funding or have said they will do so. [read post]
1 Nov 2023, 9:01 pm
Meanwhile, in Asia, Korea’s Fair Trade Commission (KFTC) raided four local securities companies over price fixing allegations related to the commission that the companies charged on their products, and Hong Kong’s Competition Commission conducted a third round of inspections at one of the city’s largest fish markets. [read post]
21 Mar 2019, 9:10 pm
Securities and Exchange Commission (SEC) voted to simplify and relax companies’ financial disclosure requirements. [read post]
27 Jun 2014, 6:19 am
Charges over ‘Pay-to-Play’ New York Times – William Alden | Published: 6/20/2014 TL Ventures agreed to pay almost $300,000 to settle charges it violated the Securities and Exchange Commission’s “pay-to-play” rules. [read post]
13 Sep 2023, 9:05 pm
In a new article, we examine these questions in the context of the Securities and Exchange Commission’s lawsuits involving crypto assets. [read post]
5 Nov 2015, 8:43 am
The findings stated that the mismarked order tickets involved leveraged and inverse exchange-traded funds (ETFs). [read post]
27 Dec 2015, 9:25 pm
“The technology isn’t that secure, so you’re trusting people not to use it and be responsible. [read post]
16 Oct 2014, 7:57 am
United States, 14-29, involving a prosecution under §10(b) of the Securities Exchange Act, or the ’34 Act, as we old-timers call it (rescheduled for this Friday’s Conference); and Crews v. [read post]
14 Mar 2016, 9:39 am
” We’re a little sympathetic: the world would be a better place if we could all get public records on demand with a simple phone call. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
1 Jun 2010, 5:10 am
NY Congressman Anthony Weiner Updated at 7:22 PM Eastern Fraud Discovery Institute co-founder Barry Minkow released a 120 page open letter (including exhibits) to Securities and Exchange Commission Chairperson Mary Schapiro and Federal Trade Commission Chairman Jon Leibowitz, detailing a point by point rebuttal of every single allegation contained in New York Congressman Anthony Weiner's recent report alleging fraud,… [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
23 Feb 2023, 9:05 pm
In a forthcoming article in the William & Mary Business Law Review, Jerry Markham, a professor at Florida International University College of Law, argued that the Securities and Exchange Commission (SEC) may have exceeded its authority by bringing enforcement actions against celebrities who received undisclosed payments for endorsing cryptocurrency companies. [read post]
