Search for: "Securities And Exchange Commission"
Results 181 - 200
of 26,292
Sorted by Relevance
|
Sort by Date
4 Jul 2023, 9:05 pm
The Securities and Exchange Commission’s recent actions against Binance and Coinbase show that the commission is worried about the business model of crypto-trading platforms. [read post]
22 Aug 2008, 4:25 am
"On July 29, 2008, the United States Securities and Exchange Commission filed a civil injunctive action in United States District Court for the Southern District of Texas, Houston Division, alleging that six individuals, including a Houston, Texas attorney and a Las Vegas, Nevada attorney, violated various provisions of the federal securities laws in their unregistered, nonexempt distribution of more than 10.8 million shares of the common stock of a Houston,… [read post]
26 Nov 2010, 12:51 pm
According to the press release: The Securities and Exchange Commission announced today that it will hold its second field hearing to examine... [read post]
19 Oct 2007, 5:15 am
Regional stock exchanges are organized national securities exchanges that are registered with the Securities Exchange Commission (SEC), and are located outside of the main financial center in New York City. [read post]
29 Jul 2005, 6:54 pm
[JURIST] Leading Friday's corporations and securities law news, the UK's Competition Commission [official website] has concluded that takeover bids from Euronext [corporate website] and Deutsche Boerse [corporate website] for the London Stock Exchange (LSE) [corporate website] would negatively affect competition. [read post]
8 Jan 2015, 8:30 am
By: Mark Tarallo On December 17, 2014, the United States Securities and Exchange Commission (“SEC) issued proposed amendments to the existing rules adopted under Section 12 (g) of the Exchange Act to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were adopted as part of the JOBS Act. [read post]
17 Jul 2007, 4:04 am
Razi-ur-Rahman Khan, chairman of the Securities & Exchange Commission of Pakistan, told Bloomberg News that he had received interest from “a number of regional, even [...] [read post]
20 Jul 2010, 8:50 am
The Securities and Exchange Commission has handed down the largest fine against a Wall Street firm in the history of the SEC. [read post]
7 Sep 2023, 5:55 am
Circuit Court found that the SEC exceeded its statutory authority when it ordered the national securities exchanges and FINRA to come up with a consolidated plan for market data that included non-SRO representatives.The exchanges lost their other two arguments for why the consolidated plan was invalid, but the D.C. [read post]
20 Jan 2011, 9:33 am
The Securities and Exchange Commission approved new regulations aimed at curbing the risks of asset-backed securities and bringing more clarity to the still struggling market. [read post]
15 Mar 2023, 11:37 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
24 Oct 2017, 12:00 am
In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about emerging ponzi schemes utilizing virtual currencies such as Bitcoin to raise money from unsuspecting investors. [read post]
20 Oct 2011, 6:57 am
Exchange-traded funds (ETFs) are the latest investment product to find themselves in the hot seat with the Securities and Exchange Commission (SEC). [read post]
14 Mar 2021, 1:00 am
Rev. (2021): Each year, state securities regulators bring over twice the enforcement actions brought by the Securities and Exchange Commission, yet their work is largely missing from the... [read post]
2 Jan 2019, 4:00 pm
Counsel for three non-profit organizations acting on behalf of Indigenous peoples in Guatemala are asking the British Columbia Securities Commission and the United States Securities and Exchange Commission to investigate two Canadian mining companies’ alleged failure to disclose material information related to a planned purchase of one by the other. [read post]
31 Aug 2014, 12:37 pm
The press release in part states the following: The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities (ABS) to enhance transparency,... [read post]
6 May 2020, 11:27 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance…Read the Full Press ReleaseHave a securities law question? [read post]
5 Apr 2018, 2:31 am
The Securities and Exchange Commission recently posted "SEC Warns of Government Impersonators" (SEC Press Release 2018-55) https://www.sec.gov/news/press-release/2018-55 warning investors about an ongoing scam in which fraudsters claiming to be SEC employees attempt to trick investors into sending money or revealing sensitive account information. [read post]
22 Mar 2023, 8:05 am
The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using…Read the Full Press ReleaseHave a securities law question? [read post]
3 Mar 2010, 4:31 pm
The Securities and Exchange Commission web site has a nice guide on researching Federal Securities laws. [read post]
