Search for: "Securities and Exchange Commission"
Results 1961 - 1980
of 22,358
Sorted by Relevance
|
Sort by Date
5 Nov 2021, 5:49 am
Securities and Exchange Commission. [read post]
22 Jul 2011, 11:17 am
On July 11, 2011, the Securities and Exchange Commission ("SEC") brought and settled charges that Janney Montgomery Scott ("Janney"), a dually-registered broker dealer and investment advisor, failed to establish and enforce policies and procedures, as required by the Securities and Exchange Act of 1934, to protect material nonpublic information from misuse. [read post]
14 Aug 2009, 12:26 pm
The Ontario Securities Commission has approved amendments to TSX Rule 4-403 of the Toronto Stock Exchange Rule Book and Policies. [read post]
21 Jul 2020, 10:43 am
On June 22, 2020, Assistant Attorney General Makan Delrahim, head of the Antitrust Division at the Department of Justice, and Jay Clayton, Chairman of the Securities and Exchange Commission, signed a Memorandum of Understanding (“MOU”) concerning “Cooperation with Respect to Promoting Competitive Conditions in the Securities Industry. [read post]
19 Jan 2022, 8:15 am
The Securities and Exchange Commission is seeking candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. [read post]
24 Jan 2022, 2:45 pm
The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. [read post]
2 Dec 2021, 7:35 am
The Securities and Exchange Commission today charged a Latvian citizen with defrauding hundreds of retail investors out of at least $7 million through two separate fraudulent digital asset securities offerings. [read post]
26 Jan 2022, 8:40 am
The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. [read post]
8 Mar 2022, 8:40 am
The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2021, 8:21 am
The Securities and Exchange Commission today announced charges against Daniel V.T. [read post]
15 Dec 2021, 8:40 am
The Securities and Exchange Commission today proposed amendments to its rules regarding disclosure about an issuer’s repurchases of its equity securities, often referred to as buybacks. [read post]
10 Nov 2010, 11:14 am
The co-chairmen of President Barack Obama’s debt-reduction commission will propose cuts to Social Security and Medicare, as well as reductions in income tax rates in exchange for curbing tax breaks, according to a Republican aide who attended the meeting. ... [read post]
6 Nov 2009, 8:43 am
As described in our earlier post, on October 9, the Ontario Securities Commission (OSC) introduced a new process for reviewing changes to certain operations of exchanges and ATSs. [read post]
19 Dec 2018, 6:01 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
25 Aug 2011, 2:23 pm
" Sources: SEC's new Whistleblower Program Takes Effect Today, Securities and Exchange Commission, August 12, 2011 [read post]
23 Jul 2020, 6:06 am
Securities and Exchange Commission and a nominee for Commissioner. [read post]
11 Jun 2015, 1:20 pm
Securities and Exchange Commission. [read post]
17 Sep 2009, 10:18 am
Securities and Exchange Commission (SEC) announced the creation of its new Division of Risk, Strategy, and Financial Innovation, which combines the Office of Economic Analysis, the Office of Risk Assessment and certain other functions. [read post]
3 Nov 2006, 8:22 am
The Securities and Exchange Commission, already facing an examination of its efforts to police the nation’s securities markets, said Thursday that it brought 9 percent fewer enforcement cases last year. [read post]
21 Mar 2005, 3:09 am
[JURIST] The US Securities and Exchange Commission has announced that communications and media giant Time Warner [corporate website] has agreed to pay $300 million to settle charges alleging that it overstated online advertising revenue and the number of its AOL Internet subscribers and committed other securities frauds. [read post]
