Search for: "Head of the Stock Exchange"
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18 Apr 2007, 11:26 pm
SEC enforcement head Linda C. [read post]
7 Aug 2012, 9:56 pm
According to stock fraud lawyers and records documenting the proceedings, all SEC charges have been settled. [read post]
7 Aug 2012, 9:56 pm
According to stock fraud lawyers and records documenting the proceedings, all SEC charges have been settled. [read post]
7 Aug 2012, 9:56 pm
According to stock fraud lawyers and records documenting the proceedings, all SEC charges have been settled. [read post]
21 Jun 2012, 4:27 am
The stock exchanges have 90 days from when the SEC's rules are published in the Federal Register to propose listing standards (and they have one year to finalize them). [read post]
13 Jan 2011, 11:45 pm
exchanges and promoted their stock afterward. [read post]
3 Jan 2024, 8:45 am
The investigation into alleged stock manipulation is currently being carried out by the Securities and Exchange Board of India (SEBI), which has been directed to complete the remaining two out of 24 investigations within three months. [read post]
7 Dec 2011, 10:39 am
Join ISS Governance Exchange members on Dec. 14 at 1:00 P.M. [read post]
24 Jan 2010, 9:05 am
Others take less than a market amount of cash in exchange for more equity. [read post]
21 Jul 2020, 10:43 am
” Deputy AG Delrahim emphasized that the DOJ would continue to look to the SEC for insight on “market infrastructure,” and mentioned, as examples, the DOJ’s reliance on the SEC’s expertise in its review of the London Stock Exchange’s proposed acquisition of Refinitiv and in recent activity in the areas of “foreign exchanges and municipal bonds. [read post]
12 Jan 2024, 11:58 am
LLC and its former equity syndicate desk head, Pawan Passi, for engaging in a multi-year fraud related to the disclosure of confidential information on in block trading. [read post]
Guest Post: Halliburton II Price Impact Defenses Can Limit Severity on Deficient Exchange Act Claims
12 Jan 2021, 2:19 pm
”[21] In 2020, ISS reports that securities class action settlements available for distribution exhibited “an increase of 61%” to $5.84 billion.[22] In today’s increasingly competitive landscape among global stock exchanges, the annulment of non-meritorious class actions that allege violations of the federal securities laws under Section 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10(b)-5 thereunder, can be… [read post]
19 Mar 2011, 3:22 am
Minor also served as Director and Enforcement Counsel for the Philadelphia Stock Exchange from 2004 to 2005. [read post]
19 May 2011, 11:17 am
According to the head of the Nigerian Stock Exchange, the country is in a marathon and not a sprint to build transparent, solid capital markets. [read post]
17 Sep 2016, 2:46 pm
TheMilkiland Group is controlled by Kazakh, Polish, other EU, U.S. and Ukrainian investors through the Dutch public holding company Milkiland N.V., listed on the Warsaw Stock Exchange. [read post]
1 Aug 2013, 6:22 am
Some global stock exchanges have also thrown their support behind this campaign and the U.S. [read post]
30 Aug 2011, 11:14 am
"Two-tier shares result in disproportionate power relative to the risk that the holder is taking," said David Webb, shareholder activist and former director at Hong Kong Exchanges & Clearing Ltd. [read post]
26 Mar 2009, 9:39 am
DeMizio, formerly the head of Morgan Stanley's domestic securities lending desk, was accused of routinely directing Morgan Stanley stock-loan business to two stock finders in exchange for kickbacks and bribes paid to his brother and father from the 1990s through 2003. [read post]
14 Mar 2011, 5:23 pm
It cannot be: stock in trade or other property held primarily for sale; stocks, bonds, or notes; other securities or evidences of indebtedness or interest; interests in a partnership; certificates of trust or beneficial interests; or choses in action. [read post]
21 Feb 2022, 6:59 am
And some firms [Snap, Inc. and Google Class B shares] have recently issued shares that give ordinary public investors no vote at all.For most of the modern history of American equity markets, the New York Stock Exchange did not list companies with dual-class voting. [read post]
