Search for: "SEC v. National Securities, Inc." Results 1 - 20 of 485
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
10 Feb 2025, 7:27 am by Will Yeatman
For foreign carriers, the FCC’s public interest standard includes “national security … foreign policy and trade policy concerns. [read post]
16 Jan 2025, 11:11 am by John Elwood
“That is the same framework,” the authority noted, “that has governed the relationship between the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) for 85 years. [read post]
13 Dec 2024, 1:18 pm by CFM Admin
Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) has published its Examination Priorities for the upcoming fiscal year 2025. [read post]
5 Dec 2024, 6:44 pm by John Elwood
Root, Inc. presents an issue that the petition argues is “nearly identical to that already before the Court in Facebook, Inc. v. [read post]
14 Nov 2024, 9:05 pm by renholding
I believe our securities laws have significantly contributed to our nation’s great economic success these last 90 years. [read post]
13 Oct 2024, 9:01 pm by eorozco
Background on Forms 13F and 13H Under Exchange Act Section 13(f)(1), institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities may be required to file quarterly reports listing such securities positions on SEC Form 13F.[2] Section 13(f) securities are defined as equity… [read post]