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15 Jun 2022, 12:55 pm
The Securities and Exchange Commission has charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond offering. [read post]
23 Dec 2008, 4:58 pm
The United States Securities and Exchange Commission announced that on December 18, 2008, the Honorable Judge Louis L. [read post]
23 Dec 2008, 4:58 pm
The United States Securities and Exchange Commission announced that on December 18, 2008, the Honorable Judge Louis L. [read post]
14 Aug 2008, 6:53 am
[JURIST] The US Securities and Exchange Commission (SEC) announced [press release] on Wednesday that it has reached a tentative agreement [PDF text] with ten US stock exchanges to centralize insider trading controls among the institutions. [read post]
19 Nov 2011, 9:56 am
"FINRA and Ontario Securities Commission Sign Regulatory Cooperation Arrangement [read post]
1 May 2023, 6:34 am
On April 14, 2023, by a 3-2 party-line vote the US Securities and Exchange Commission (SEC) reopened the public comment period and provided supplemental information on amendments proposed in January 2022 to the definition of “exchange” under Rule 3b-16. [read post]
7 Mar 2011, 5:31 am
SECURITIES AND EXCHANGE COMMISSION INSPECTOR GENERAL investigating agency’s handling of Madoff fraud. [read post]
MORE PROBLEMS FOR THE SECURITIES AND EXCHANGE COMMISSION. Really, an agency in need of repair, or r…
2 Dec 2011, 5:20 am
MORE PROBLEMS FOR THE SECURITIES AND EXCHANGE COMMISSION. [read post]
28 Jun 2022, 7:18 am
HE CAN BE REACHED AT 617-823-3217 OR AT JNEWMAN@NEWMNSHAPIRO.COM The post Securities and Exchange Commission charges Ernst and Young for cheating by its audit professionals on CPA exams and withholding information from SEC’s Enforcement Division during the investigation. [read post]
12 Jul 2023, 12:05 pm
The Securities and Exchange Commission today announced settled charges against RSE Markets Inc. for operating as an unregistered exchange by maintaining and providing a marketplace and facilities that brought together purchasers and sellers of securities…Read the Full Press Release Have a securities law question? [read post]
10 May 2007, 5:15 am
We are examining the role of the Securities and Exchange Commission in the governance process. [read post]
14 Nov 2007, 10:00 am
While shareholder access languishes (actually a good thing), the petition by the Business Roundtable to reform the Shareholder Communication Rules sits unaddressed, and amendments to NYSE Rule 452 to prohibit brokers from voting uninstructed shares for directors seems to be going nowhere, the Commission has nonetheless moved on apparently more pressing matters. [read post]
7 Jul 2010, 11:10 am
The Securities and Exchange Commission is now investigatin [read post]
3 Feb 2016, 3:23 am
In the Matter of Sandip Shah, Respondent (OIP, Securities and Exchange Commission, '35 Act Rel. [read post]
17 Jul 2023, 8:27 am
Securities and Exchange Commission’s (SEC) lawsuit against Ripple Labs Inc. [read post]
26 Jul 2010, 1:02 pm
The investment bank will remain qualified as an issuer of securities after settling civil fraud charges with the Securities and Exchange Commission. [read post]
14 Jun 2022, 8:06 am
The Securities and Exchange Commission has leved insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition of Toronto-based Score Media and Gaming, Inc. [read post]
23 Nov 2009, 11:52 am
Antar Annexed hereto: 08/05/09: Open Letter to the Securities and Exchange Commission: Stop Overstock.com GAAP Violations Now! [read post]
13 Apr 2015, 6:51 am
On Wednesday, March 25, 2015, the Securities and Exchange Commission adopted final rules that will assist certain small businesses and startups in fundraising efforts by creating an updated exemption from registration for certain small issuers of securities. [read post]
7 Aug 2021, 4:45 am
Securities and Exchange Commission. [read post]
