Search for: "International Securities Exchange"
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28 Dec 2018, 6:05 am
Stock exchanges form a critical component of the global financial market ecosystem, serving as gatekeepers linking companies to investors and as a platform for trading the securities of listed companies. [read post]
29 Jul 2011, 9:00 am
DealBook talks with six students from some of the nation's top law, business and undergraduate schools about why they are interns at the Securities and Exchange Commission. [read post]
15 May 2023, 9:00 am
On 12 May 2023, the International Organization of Securities Commissions (IOSCO) published Good Practices Relating to the Implementation of the IOSCO Principles for Exchange Traded Funds. [read post]
19 Nov 2007, 8:07 am
The Government Accountability Office said Monday that the Securities and Exchange Commission had a material weakness in the internal controls over its financial reporting. [read post]
28 Sep 2022, 8:06 am
The Securities and Exchange Commission has filed charges against 15 broker-dealers and an affiliated investment adviser for widespread failures by the firms and employees to maintain and preserve electronic communications in violation of securities laws. [read post]
15 Mar 2012, 1:22 pm
A lot of law firms outsource their Microsoft Exchange Server to a third-party provider instead of purchasing a server and hosting Microsoft Exchange internally. [read post]
6 Mar 2023, 2:13 pm
Rio Tinto consented to the SEC’s order without admitting or denying the findings that it violated the books and records and internal accounting controls provisions of the Securities Exchange Act of 1934 and agreed to pay a $15 million civil penalty. [read post]
3 Sep 2015, 1:05 pm
“SEVIS by the Numbers,” a quarterly report on international students studying in the United States, was released Thursday, Sept. 3 by the Student and Exchange Visitor Program (SEVP), part of U.S. [read post]
10 Jan 2022, 12:54 pm
Securities and Exchange Commission followed through on its commitment to aggressively enforce securities laws in digital assets markets. [read post]
10 Jan 2022, 12:54 pm
Securities and Exchange Commission followed through on its commitment to aggressively enforce securities laws in digital assets markets. [read post]
27 Aug 2008, 6:40 pm
The Securities and Exchange Commission moved Wednesday to allow some large American companies to begin using international accounting standards as early as next year, and to require all American companies to do so by 2016. [read post]
22 Apr 2022, 11:15 am
Did your Western International Securities advisor recommend investing in GWG L Bonds? [read post]
5 Feb 2018, 6:13 am
It aims to drive discussions of public international law, including international humanitarian law, international human rights law and international criminal law, into conversations, in the U.S. in particular on national security issues and situations of armed conflict. [read post]
2 Apr 2019, 10:45 am
Securities and Exchange Commission. [read post]
7 Nov 2023, 12:48 pm
The SEC’s complaint alleges that SolarWinds and Brown violated the antifraud provisions of the Securities Act of 1933 and of the Securities Exchange Act of 1934, and the reporting and internal controls provisions of the Exchange Act. [read post]
4 May 2012, 1:32 am
Its shares do not trade on any Canadian exchange. [read post]
16 Nov 2007, 7:29 am
In a very important vote, the Securities and Exchange Commission dropped a requirement that foreign companies with United States trading exchange listings that comply with rules set by the International Accounting Standards Board (ISAB) still must reconcile their accounting records... [read post]
1 Mar 2023, 6:50 pm
Independent artists and non-profit organizations are particularly impacted by this inequity, and are likely underrepresented in international cultural exchange. [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as… [read post]
12 Aug 2021, 8:39 am
The SEC order finds that Poloniex did not register as a national securities exchange nor did it operate under a valid exemption from registration at any time, and its failure to do so was a violation of Section 5 of the Securities Exchange Act of 1934. [read post]
