Search for: "Securities and Exchange Commission"
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3 Mar 2010, 4:31 pm
The Securities and Exchange Commission web site has a nice guide on researching Federal Securities laws. [read post]
23 Aug 2007, 4:50 am
HSBC has suffered an early setback in its attempt to secure a 2.5 billion pound ($5 billion) takeover of Korea’s sixth-largest banking group, Korea Exchange Bank. [read post]
12 Mar 2021, 7:34 am
Continue reading The post Liquidating or Exchanging Annuities May Be Unsuitable for Investors appeared first on Securities Fraud Attorney Blog. [read post]
29 Mar 2019, 8:10 am
The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s withdrawal from the European Union (EU).As evidence of their long-standing partnership, SEC Chairman Jay Clayton met with FCA CEO Andrew Bailey and signed two updated Memoranda of Understanding (MOUs) to ensure the continued ability to cooperate… [read post]
18 Apr 2023, 10:49 am
Corrigan, Does an Initial Public Offering (IPO) Issuer's Securities and Exchange Commission Registration Fee Calculation Method Predict Pricing Revisions and IPO Underpricing? [read post]
4 Dec 2020, 5:09 am
Australian Securities Exchange Welcomes Nuix Limited appeared first on ComplexDiscovery. [read post]
20 Jul 2017, 5:15 am
With Chairman Jay Clayton in place, the Securities and Exchange Commission is now controlled by Republican appointees. [read post]
26 Nov 2013, 11:00 am
The Securities and Exchange Commission Division of Trading and Markets granted relief for institutional asset managers participating in a brokerage firm’s client commission arrangements. [read post]
5 Jul 2012, 8:29 am
On August 22, the Securities and Exchange Commission ("SEC") will hold an open meeting to consider whether to adopt final rules implementing Section 1502 and Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
17 Apr 2023, 5:00 am
“Make no mistake: many crypto trading platforms already come under the current definition of an exchange and thus have an existing duty to comply with the securities laws,” said SEC Chairman Gary Gensler, in a statement.During its prior comment period on the proposals, which ended on June 13, 2022, the Commission received a significant number of comments from crypto market participants, and the SEC’s review of the revised proposals at an open meeting on… [read post]
18 Sep 2009, 8:00 am
There is little or no residual role for regulators such as the Securities and Exchange Commission, although Rule 10A-3 arguably provides some room for Agency influence and enforcement. [read post]
26 Dec 2016, 3:28 am
United States Securities and Exchange Commission, Respondent (Opinion, United States Court of Appeals for the Tenth Circuit, 15-9586 / December 28, 2016) in which it deemed Securities and Exchange Commission ("SEC") Administrative Law Judges ("ALJs") to be serving in violation of the Appointments Clause of the Constitution. [read post]
20 Dec 2011, 7:22 pm
On October 13, 2011, the Securities and Exchange Commission took an important step towards answering this question when it issued a guidance that attempts to clarify a company’s obligations to disclose cybersecurity risks in registration statements and periodic reports required by the Securities Exchange Commission. [read post]
27 Dec 2013, 9:00 am
Information for individual considering retirement available at the Securities and Exchange Commission’s websiteSource: United States Securities and Exchange CommissionThe United States Securities and Exchange Commission has posted a number of aids to assist individuals interested in planning for retirement on the Internet. [read post]
11 Dec 2011, 6:17 am
Securities and Exchange Commission. [read post]
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
13 Jun 2023, 10:00 pm
The Securities and Exchange Commission (SEC) approved on June 9 amended versions of the listing exchange standards by the New York Stock Exchange and Nasdaq. [read post]
