Search for: "Securities and Exchange Commission v. Ma"
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29 Apr 2013, 3:16 am
Securities and Exchange Commission v. [read post]
22 Aug 2017, 6:02 am
Securities and Exchange Commission that disgorgement in SEC proceedings is subject to the five-year statute of limitations for penalties. [read post]
31 Mar 2022, 2:52 pm
On March 31, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2022 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
16 Mar 2023, 1:36 pm
On March 15, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2023 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
2 Apr 2020, 4:14 pm
In Salzberg v. [read post]
29 Jun 2023, 10:26 am
Securities and Exchange Commission (SEC), the SEC Whistleblower Reform Act of 2023 “will help ensure that the SEC Whistleblower Program remains an indispensable tool in the Commission’s efforts to police wrongdoing and protect investors. [read post]
29 Jan 2015, 5:19 pm
They were tried by a military commission….Military commission trials are not available to American citizens, they have to go under Article III, but we have under our law in Hamdi v. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
13 Apr 2011, 5:35 am
On the same day, the Securities and Exchange Commission filed parallel civil charges against the individuals (SEC v. [read post]
23 Nov 2022, 5:04 pm
McGovern (D-MA), Chair and Cochair of the bipartisan and bicameral Congressional-Executive Commission on China (CECC), issued today the Commission’s 2022 Annual Report on human rights conditions and rule of law developments in the People’s Republic of China (PRC). [read post]
24 Jan 2022, 6:30 am
Securities and Exchange Commission (“SEC”) and if the Biden Administration’s Build Back Better Act makes further headway. [read post]
16 Sep 2009, 1:47 pm
(Reading, MA; Sandra Scholten, President) A-Tech Security Inc. [read post]
18 May 2012, 10:44 am
On Friday, December 16, 2011 (the day after the Commission appealed Judge Rakoff's decision), the House Committee on Financial Services announced that it would "hold a hearing next year to examine the practice by the Securities and Exchange Commission of settling cases with defendants that neither admit nor deny complaints made by the SEC. [read post]
11 Aug 2011, 11:48 am
The SEC must adopt rules directing the national securities exchanges to prohibit the listing of any class of equity security of a company not in compliance with these mandates. [read post]
4 Mar 2024, 5:56 pm
" (NSBA v. [read post]
20 Sep 2010, 10:08 am
Venetis and her firms of the securities registration requirements under the Securities Act of 1933 as the notes were securities and neither registered nor exempt from registration, and anti-fraud violations under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. [read post]
26 Mar 2007, 7:06 am
Securities and Exchange Commission. [read post]
17 Feb 2015, 7:52 am
The Securities and Exchange Commission also announced in April that it would conduct over 50 cybersecurity examinations of publicly traded companies. [read post]
15 Dec 2022, 8:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
