Search for: "The Nasdaq Stock Market LLC v. Securities and Exchange Commission"
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19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
6 Jul 2022, 7:03 am
Circuit court could not sever the offending part, and thus vacated the entire order (The Nasdaq Stock Market LLC v. [read post]
4 Jul 2022, 7:46 pm
UBS Sued in Federal Court Over Form 1099 Reporting (BrokeAndBroker.com Blog)SEC Obtains Final Judgments Against Defendants in Netflix Insider Trading Ring (DOJ Release)SEC Obtains Judgments Against Three Individuals for Participating in Multi-Million Dollar International Fraud Scheme (SEC Release)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
4 Jul 2022, 7:46 pm
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts (BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
28 May 2022, 12:02 pm
In Nasdaq Stock Market LLC v. [read post]
25 May 2022, 6:22 am
The panel concluded that the Commission reasonable concluded that the rule would promote its stated goal and that the agency carefully considered the costs and benefits to the public interest (The Nasdaq Stock Market LLC v. [read post]
15 Feb 2022, 2:05 pm
Claims brought following the de-SPAC are similar to securities lawsuits brought against other public companies, arising under Section 10(b), Section 14(a) and/or Section 20(a) of the Securities Exchange Act. [read post]
11 Jun 2021, 5:47 am
(BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
30 Jun 2020, 11:20 am
In New York Stock Exchange LLC v. [read post]
26 Jun 2020, 4:30 pm
In New York Stock Exchange LLC v. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
16 Mar 2020, 1:54 pm
This would be significant to the extent it opens an avenue to primary liability for a class of persons who previously may only have faced secondary liability under the statutory “aiding and abetting provision,” which contains no private right of action and is therefore only enforceable by the Securities and Exchange Commission. [read post]
24 Oct 2019, 2:40 pm
” (June 6th, 2018, during a CNBC interview); and “If investors think there’s the same rigor around cryptocurrency price discovery as there is on the Nasdaq or New York Stock Exchange … they are sorely mistaken. [read post]
17 Oct 2019, 8:18 am
The NYSE Group, Nasdaq, and Cboe Global Markets have all challenged the legality of the controversial pilot, which is designed to study NMS stocks and the effects that exchange transaction fee and rebate pricing models may have on order routing behavior, execution quality, and general market quality (New York Stock Exchange LLC v. [read post]
22 Mar 2019, 6:27 am
Securities and Exchange Commission, on Saturday, March 16, 2019 Tags: Board communication, Brexit, Climate change, Disclosure, Environmental disclosure, ESG, Information environment, International governance, Investor protection, Long-Term value, Materiality, Sustainability Is it Time for Corporate Political Spending Disclosure? [read post]
14 Jan 2019, 3:08 pm
Securities and Exchange Commission, 137 S. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
24 May 2012, 6:51 am
The fact is most volume on equity exchanges like NASDAQ and NYSE are the r [read post]
13 Sep 2010, 1:04 am
Sharesleuth took a closer look at the registration statement covering the resale of those shares, and found that no fewer than eight people who participated in the placement have been the subject of Securities and Exchange Commission actions or criminal prosecutions. [read post]
