Search for: "SEC v. National Securities, Inc."
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24 Feb 2017, 5:00 am
Defendants, national Securities Exchanges (the “Exchanges”), provide information about securities traded on the Exchanges to an exclusive securities processor (“Processor”) pursuant to Regulation National Market System (”Reg NMS”). [read post]
17 Feb 2017, 12:21 pm
ANZ Securities, Inc. [read post]
17 Feb 2017, 6:56 am
Inc. [read post]
18 Jan 2017, 8:10 am
ANZ Secs., Inc., No. 16-373 (SCOTUSblog page) involves whether, under the class action tolling rule of American Pipe & Constr. [read post]
21 Dec 2016, 7:19 am
The National Whistleblower Center filed an amicus (friend of the court) brief in support of the whistleblowers in State Farm Fire and Casualty Company v. [read post]
6 Oct 2016, 9:30 pm
Department of Justice (DOJ) asking the Court to rehear U.S. v. [read post]
29 Aug 2016, 4:00 am
[The National Association for Fixed Annuities, et al, v. [read post]
26 Jul 2016, 7:47 am
The SEC action involved allegations of fraud and violations of the Securities Exchange Act by a public company. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
19 May 2016, 2:33 pm
[vii] CSC entered into a contract with the United Kingdom’s National Health Service (“NHS”) to build an electronic patient-record system. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
14 Mar 2016, 2:56 am
In Hantz Financial Services, Inc. v. [read post]
2 Mar 2016, 4:26 pm
For years, cryptologists and national security experts have been warning against weakening encryption. [read post]
14 Feb 2016, 4:53 pm
Inclusive Communities, Inc. [read post]
31 Jan 2016, 9:30 pm
Sec. [read post]
20 Jan 2016, 5:21 am
Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015 12/23/2015 3/22/2016 2015-146 SEC v. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
11 Jan 2016, 3:10 pm
American Furukawa, Inc. v. [read post]
13 Dec 2015, 5:42 pm
SEC. 203. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
