Search for: "Securities and Exchange Commission"
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9 Nov 2017, 6:15 am
Securities and Exchange Commission. [read post]
29 Sep 2016, 5:28 am
SEC Release No. 34-78962 has been issued and states in part the following: The Securities and Exchange Commission (“Commission”) proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement cycle for... [read post]
15 Jun 2011, 5:00 pm
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
15 Jun 2010, 3:52 pm
In Securities & Exchange Commission v. [read post]
17 Nov 2022, 12:25 pm
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
9 Jun 2022, 11:40 am
The Securities and Exchange Commission has filed fraud charges against a Detroit-based hedge fund and its owner for allegedly engaging in a multiyear scheme that included misappropriating and misusing investors’ funds for personal use, including for jewelry, and credit card payments, and his wife’s business. [read post]
1 Sep 2023, 8:11 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to file a new national market system plan (NMS plan) to replace the three existing…Read the Full Press Release Have a securities law question? [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
4 Aug 2009, 9:52 pm
To Mary Schapiro (Chairperson of the Securities and Exchange Commission):The Securities and Exchange Commission must take immediate action to require Overstock.com (NASDAQ: OSTK) to properly restate all financial reports affected by its accounting errors and stop the company from issuing any more financial reports that violate Generally Accepted Accounting Principles (GAAP). [read post]
29 Jun 2022, 8:31 am
The Securities and Exchange Commission (SEC) has opened an investigation into Ericsson’s handling and reporting of its ongoing Iraq corruption issues. [read post]
