Search for: "Securites And Exchange Commission"
Results 141 - 160
of 238
Sorted by Relevance
|
Sort by Date
14 Jan 2014, 3:14 pm
The interim final rule was approved by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, and the Securities and Exchange Commission, the same agencies that issued final rules to implement section 619. [read post]
15 Jul 2011, 5:00 am
On March 11 2011 1 the Securities and Exchange Commission (the "SEC" or "Commission") - having previously filed all of its Galleon related insider trading actions in this federal district decided it preferred its home turf. . . .In language substantially similar to its complaints filed in this Court against some 28 other persons and entit accused of Galleon-related insider trading the SEC alleged that by virtue of such conduct, Gupta willfully violated… [read post]
21 May 2010, 4:38 am
The Commission would have the authority to bar a regulated person who violates the securities laws in one part of the industry, such as a broker-dealer who misappropriates customer funds, from access to customer funds in another part of the securities industry, for example, an investment adviser. [read post]
3 Aug 2011, 5:00 am
On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and HUD published a joint notice of proposed rulemaking for public comment to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. [read post]
2 Jan 2012, 11:22 am
In fact, the charges brought by the Securities and Exchange Commission against six former Fannie and Freddie executives tell a different story; it charges that the executives were motivated to begin buying subprime mortgages -- belatedly, contrary to the Big Lie -- because they were trying to reclaim lost market share, and thus maximize their bonuses. [read post]
9 Nov 2014, 9:30 pm
Securities and Exchange Commission has had to devote time and resources to address rules quite unrelated to both the financial crisis and the agency’s core mission, a diversion further exacerbating the delayed implementation of rules with at least an ostensible nexus to the crisis, such as those relating to security-based swaps and asset-backed securitizations, along with the Volcker rule, which prohibits financial institutions’ proprietary trading. [read post]
26 Jan 2022, 9:34 am
U.S. securities records are on a service called EDGAR, maintained by the Securities and Exchange Commission. [read post]
10 Mar 2008, 7:52 am
The U.S. participants included the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the Federal Reserve. [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
11 Sep 2023, 9:01 pm
Securities and Exchange Commission (“SEC”) adopted new rules under the Investment Advisers Act of 1940 (the “Advisers Act”) that will significantly impact private fund advisers (the “Final Rules”). [read post]
25 Jun 2010, 9:22 am
The legislation also envisions a completely reformed securitization process with risk retention (skin in the game) playing an important role in the financial markets. [read post]
10 May 2010, 4:50 am
On January 13, 2010, the Securities and Exchange Commission’s Enforcement Division announced a new “specialized unit” to focus enforcement resources on “all structured products, including collateralized debt obligations, both cash and synthetic, credit default swaps, securitized instruments and other structured products,” as well as “newly-developing products. [read post]
30 Jan 2008, 9:32 am
In addition, the EU heads urged regulators to engage in cross-border cooperation and information exchange to prevent and manage financial market crises. [read post]
14 Oct 2010, 7:11 pm
Like any entity issuing securities, they are themselves registered with the Securities and Exchange Commission (SEC). [read post]
14 Oct 2010, 7:11 pm
Like any entity issuing securities, they are themselves registered with the Securities and Exchange Commission (SEC). [read post]
3 Jul 2010, 9:33 am
The Securities and Exchange Commission (SEC) will develop a solution for the conflicts of interest that currently exist and are partly responsible for the incorrect and deceptive ratings of the past. [read post]
29 May 2012, 6:05 pm
District Court for the Southern District of New York, Kent Whitney an ex-registered floor broker at the Chicago Mercantile Exchange, agreed to pay $600K to settle allegations by the Commodity Futures Trading Commission that he made statements that were “false and misleading” to the exchange and others about a scam to trade options without posting margin. [read post]
30 Mar 2012, 6:19 am
For the second time in a two-month span, the Commission has brought a case for fraudulent disclosures regarding the health of a residential loan portfolio. [read post]
26 Apr 2022, 9:01 pm
Securitization, which started in the 1980s, really took off in the ‘90s. [read post]
31 Aug 2022, 12:42 pm
Securities and Exchange Commission (SEC) announced charges against a firm and individual accused of conducting a promissory note scheme targeting seniors. [read post]
