Search for: "Securities and Exchange Commission"
Results 1 - 20
of 22,149
Sorted by Relevance
|
Sort by Date
27 Feb 2019, 9:51 am
Vanessa Countryman, '05:Named Acting Secretary at the Securities and Exchange Commission US Securities and Exchange Commission [read post]
3 Dec 2021, 12:37 pm
The post Securities And Exchange Commission Investigating GWG L Bonds appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Dec 2018, 6:03 am
Securities and Exchange Commission. [read post]
18 Nov 2020, 5:57 am
Securities and Exchange Commission. [read post]
13 May 2021, 1:35 pm
The larger award […] The post Securities and Exchange Commission awards $22 million to two whistleblowers for revealing securities violations appeared first on Newman & Shapiro. [read post]
19 Jan 2023, 1:03 pm
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. [read post]
27 Aug 2022, 6:44 am
The Securities and Exchange Commission has added two amendments to its whistleblower program. [read post]
31 Mar 2021, 12:55 pm
The Securities and Exchange Commission (SEC) has filed a civil suit against New Hampshire firm LBRY saying it “failure to register an offering of securities. [read post]
3 Jan 2011, 8:16 pm
The Securities and Exchange Commission (SEC) has delivered another round of subpoenas to the major banks and mortgage servicers. [read post]
9 Feb 2010, 4:18 am
The Securities and Exchange Commission (“SEC”) issued an interpretive release on February 2, 2010, entitled Commission Guidance Regarding Disclosure Related to Climate Change. [read post]
20 Apr 2021, 4:27 pm
CRS report – Climate Change Risk Disclosures and the Securities and Exchange Commission, April 20 2021: “Potential risks to the U.S. financial system from climate change have attracted growing attention in government, academia, and media, raising questions about the roles of financial regulators in addressing such risks. [read post]
28 Jun 2018, 6:00 am
In Lucia v Securities and Exchange Commission, the U.S. [read post]
17 Jul 2024, 11:36 am
The Securities and Exchange Commission announced an award of more than $37 million to a whistleblower who provided information not previously known to the SEC and which significantly contributed to a successful enforcement action. [read post]
4 Aug 2023, 9:31 am
He can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Securities and Exchange Commission awards more that $104 million to seven whistleblowers appeared first on Jeff Newman Law. [read post]
3 Aug 2017, 6:06 am
The post Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology appeared first on Private Business Counsel. [read post]
4 Jan 2017, 2:16 pm
President-elect Trump intends to nominate Sullivan & Cromwell partner Jay Clayton to head the Securities and Exchange Commission according to reports by the Financial Times... [read post]
29 Sep 2022, 2:03 pm
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
10 Dec 2019, 10:43 am
Securities and Exchange Commission. [read post]
3 Sep 2011, 2:56 pm
According to Reuters, attorneys at the Securities and Exchange Commission (“SEC”) have reportedly begun making requests for information concerning proprietary algorithmic trading data as part of its authority to examine financial firms for compliance with federal regulations according to officials and outside lawyers. [read post]
8 Dec 2011, 3:25 pm
The Wall Street Journal reported earlier today that the Ontario Securities Commission (“OSC”) has approved Alpha (Alpha Trading Systems Limited Partnership and Alpha Exchange Inc.), Canada’s largest alternative trading platform to the TSX, as a stock exchange (see: Ontario Securities Regulator Allows Alpha to be Exchange). [read post]
