Search for: "SECURITIES AND EXCHANGE COMMISSION v. SECURITIES INVESTOR PROTECTION CORPORATION"
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12 Jul 2016, 6:41 am
The Securities and Exchange Commission today announced the appointment of three new members to its Investor Advisory Committee, and the reappointment of five members whose terms recently expired. [read post]
9 Jul 2012, 7:04 am
District Court for the District of Columbia July 3 denied the Securities and Exchange Commission’s first-of-its-kind application to force Securities Investor Protection Corporation protection for victims of R. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
22 Feb 2018, 1:54 pm
On February 21, 2018, the United States Supreme Court unanimously ruled that employees complaining of securities or other corporate fraud under the Dodd-Frank Act must first go to the Securities and Exchange Commission (SEC) in order to receive anti-retaliation protections. [read post]
8 May 2012, 5:00 am
Feb. 9, 2012), the court granted the Securities and Exchange Commission’s (“SEC”) Ex Parte Motion to Show Cause and denied the Securities Investor Protection Corporation’s (“SIPC”) Motion to Strike the SEC’s motion. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
26 Jun 2018, 6:46 am
In a completely unsurprising statement, a high-ranking official at the Securities and Exchange Commission said that Bitcoins are not securities. [read post]
8 Sep 2022, 9:01 pm
Crypto investors should benefit from exchange rulebooks that protect against fraud, manipulation, front-running, wash sales, and other misconduct. [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Friday, March 16, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, SEC, Securities regulation, Transparency Proposed Amendments to Public Reporting of Fund Liquidity Information Posted by Hester M. [read post]
5 Mar 2024, 5:40 am
By Suzanne CosgroveThe Council of Institutional Investors (CII) has urged the SEC to initiate new rulemaking that will make it easier to trace shares sold into the marketplace through both direct listings and initial public offerings and, in the process, protect investors’ rights under Section 11 of the Securities Act of 1933.The CII said the urgency of its petition is in part a response to the Supreme Court decision Slack Technologies, LLC v. [read post]
12 Feb 2010, 10:17 am
Congress recognized private securities litigation as andquot;an indispensable tool with which defrauded investors can recover their losses without having to rely upon government actionand#39; and consequently, such lawsuits and#39;promote public and global confidence in our capital markets and help to deter wrongdoing and guarantee that corporate officers, auditors, directors, lawyers and others properlyandnbsp;andnbsp;perform their jobs.andquot; The Securities… [read post]
7 Aug 2018, 9:07 am
Bats BZX Exchange, Inc., failed to convince three members of the Commission that its surveillance-sharing agreement with the Winklevoss twins’ Gemini Exchange was sufficient to prevent fraud and manipulation, as required by the Exchange Act. [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
16 Jan 2018, 6:56 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
12 Mar 2024, 3:36 am
[4] See id. at 15 (“[T]he Commission’s disclosure requirements . . . are designed for traditional corporate entities that typically issue and register equity and debt securities. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
9 Jul 2021, 7:07 am
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
21 Feb 2023, 12:21 pm
Securities and Exchange Commission (SEC) announced the establishment of a $178.6 million Fair Fund to be distributed to investors harmed in Danske Bank’s historic money laundering scheme. [read post]
