Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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26 Jun 2020, 4:30 pm
In New York Stock Exchange LLC v. [read post]
17 Oct 2019, 8:18 am
The NYSE Group, Nasdaq, and Cboe Global Markets have all challenged the legality of the controversial pilot, which is designed to study NMS stocks and the effects that exchange transaction fee and rebate pricing models may have on order routing behavior, execution quality, and general market quality (New York Stock Exchange LLC v. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
16 Feb 2022, 12:32 pm
Malecki, Co-Chair of the New York State Bar Association’s Securities Arbitration Committee, to Moderate a Timely Discussion on the Future of Investor Arbitrations appeared first on New York Securities Fraud Lawyers Blog. [read post]
18 Dec 2006, 12:29 pm
District Court for the Southern District of New York. [read post]
10 Sep 2013, 9:31 am
Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange Act of 1934] reaches the use of a manipulative or deceptive device or contrivance only in connection with the purchase or sale of a security listed on an American stock exchange, and the purchase or sale of any other security in the United States. [read post]
27 Aug 2024, 9:01 pm
SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of New York issued an opinion in Securities and Exchange Commission v. [read post]
31 May 2018, 2:48 pm
As alleged by the SEC in its Complaint filed in federal court in the Eastern District of New York (SEC v Pagartanis Complaint), Mr. [read post]
9 May 2013, 11:17 am
The Securities and Exchange Commission (“SEC”) relies upon the securities exchanges (e.g., the New York Stock Exchange) to enforce Section 15(g). [read post]
9 Jul 2009, 12:39 pm
Separately, the Securities and Exchange Commission today filed civil charges in the case. [read post]
8 Oct 2024, 9:01 pm
On September 6, 2024, the United States Securities and Exchange Commission (the SEC) charged Esmark Inc. [read post]
16 Apr 2024, 5:29 am
Securities and Exchange Commission (SEC) continues to broaden the use of forfeiture of executive compensation as a regulatory tool with an increased emphasis on making employers do the clawing-back themselves.In October 2022, the SEC adopted the new Rule 10D-1, 17 C.F. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
29 Aug 2012, 12:10 pm
In other institutional investment fraud news, the Securities and Exchange Commission has filed charges against Edward Bronson and his E-Lionheart Associates LLC. [read post]
24 Nov 2024, 9:01 pm
The Securities and Exchange Commission announced on November 22 that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. [read post]
13 Nov 2012, 11:54 am
Superior Court (Monex), 176 Cal.App.4th 1554 (2009);andnbsp;andnbsp; ATandamp;T Mobility LLC v. [read post]
18 Jun 2023, 6:30 am
Background In 2019, Slack, a workplace messaging company, went public on the New York Stock Exchange via a direct listing instead of a traditional IPO. [read post]
18 Jun 2023, 6:30 am
Background In 2019, Slack, a workplace messaging company, went public on the New York Stock Exchange via a direct listing instead of a traditional IPO. [read post]
10 Jul 2018, 3:57 am
Colorado Division of Securities Participates in Coordinated International Crypto Crackdown On May 3, 2018, the Colorado Securities Commission announced that it signed orders requiring Linda Healthcare Corporation and Broad Investments, LLC to cease and desist from selling securities in the state. [read post]
