Search for: "In Re Securities and Exchange Commission" Results 41 - 60 of 2,777
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28 Dec 2010, 10:11 am by Justin McLachlan
The New York Times' Dealbook says though it's not clear exactly what they're worried about, the Securities and Exchange Commission is looking into the growing tide of exchanges set-up to trade shares in private companies that include Facebook, Twitter and LinkedIn. [read post]
15 Jun 2023, 4:49 am by Unknown
In a letter dated June 13, the Crypto Council for Innovation noted it had previously requested that the Commission clarify whether its original proposal covered crypto and DeFi protocols, and, if it did, to re-propose it in accordance with the Commission’s statutory requirements under the Administrative Procedure Act (APA), the Exchange Act, and the Paperwork Reduction Act. [read post]
16 Feb 2012, 1:36 pm by Steve Bainbridge
Congress, after all, controls the budget of the Securities and Exchange Commission. [read post]
15 Apr 2010, 12:34 pm by Chris Kramer
The Securities and Exchange Commission (SEC) announced that it has proposed new rules to govern the field of bonds backed by consumer loans, perhaps best known in its incarnation of mortgage-backed securities sold during the subprime housing boom. [read post]
1 Dec 2023, 10:24 am by Hugh D. Berkson
Private Placements Private placements – securities that aren’t traded on a securities exchange like the New York Stock Exchange – pay a much higher commission than you’d see with a stock, bond, or mutual fund that is traded every moment of every day. [read post]
8 Oct 2021, 10:19 pm
Securities and Exchange Commission enforcement cease-and-desist order (Order) In re App Annie Inc. [read post]
14 Mar 2019, 3:51 pm by InvestorLawyers
If you’ve never heard of the Business Integrity Commission, or BIC, you’re not alone. [read post]
24 Aug 2023, 5:47 am by Unknown
Originally proposed in 2015, and re-proposed in July 2022, the amendments are intended to narrow the existing exemption and require broker-dealers who engage in off-exchange proprietary trading to become members of a national securities association. [read post]
9 Jul 2019, 2:10 pm by Astarita
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint proposal to align the minimum margin required on security futures with other similar financial products. [read post]
23 Feb 2018, 4:00 am by eileen peck
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [read post]
7 Dec 2018, 1:29 pm by Joe
  If they’re paid using exchange proceeds, they’ll be treated as boot from the exchange and thus be subject to tax. [read post]
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
18 Jan 2019, 7:08 am
No. 33344 / January 16, 2019)https://www.sec.gov/litigation/opinions/2019/33-10602.pdf [Ed: footnote omitted]:The Securities and Exchange Commission has experienced a lapse in appropriations. [read post]