Search for: "In Re Securities and Exchange Commission" Results 121 - 140 of 2,779
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6 Apr 2009, 2:17 am
Senator Nick Sherry, Minister for Superannuation and Corporate Law, has  allowed changes to the Australian Securities Exchange (ASX) market rules to boost retail investor disclosure and protection in relation to "partly paid securities". [read post]
18 May 2020, 1:54 pm by William Ford
In a virtual roundtable on May 13, however, the Senate Homeland Security and Governmental Affairs Committee heard testimony on the task force’s findings from the commission’s co-chairs, Sen. [read post]
18 May 2020, 1:54 pm by William Ford
In a virtual roundtable on May 13, however, the Senate Homeland Security and Governmental Affairs Committee heard testimony on the task force’s findings from the commission’s co-chairs, Sen. [read post]
31 Aug 2019, 7:00 am by Race to the Bottom
The Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”) both include investment contracts in their definition of securities. (15 U.S.C. [read post]
21 Sep 2011, 8:37 am by Stanley D. Baum
It appears, from the News Release, that the DOL wants more input from the public and other rule makers (e.g., the Securities and Exchange Commission and the Commodities Futures Trading Commission) and more time to review and consider a revised definition. [read post]
1 Apr 2015, 1:43 pm by Robert B. Milligan
By Ada Dolph, Christopher Robertson, and Robert Milligan The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud complaints in-house. [read post]
29 Dec 2011, 10:46 am
The Securities and Exchange Commission has issued a proposal seeking to impose larger penalties on wrongdoers. [read post]
15 Aug 2018, 5:00 am by eileen peck
In addition to federal criminal charges, the men also face charges by the Securities and Exchange Commission. [read post]
6 Jan 2009, 6:17 am
The Securities and Exchange Commission approved requiring public companies to release interactive versions of their  financial data. [read post]
5 Feb 2024, 9:01 pm by renholding
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
19 Nov 2008, 6:33 pm
We’ve told you a bit already about the Securities and Exchange Commission’s case against Dallas Mavericks owner Mark Cuban (pictured, right). [read post]
20 Nov 2008, 10:00 am
We’ve told you a bit already about the Securities and Exchange Commission’s case against Dallas Mavericks owner Mark Cuban (pictured, right). [read post]