Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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26 Jan 2010, 8:58 pm
Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest Securities Inc. stockbroker. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
8 Sep 2021, 6:54 am
Securities and Exchange Commission. [read post]
14 Mar 2023, 8:38 am
The Securities and Exchange Commission (SEC) has filed a petition for certiorari with the U.S. [read post]
10 Sep 2017, 6:15 am
Securities and Exchange Commission (SEC) which disclosed a patent assignment agreement made with Armonk, NY-based information technology giant IBM (NYSE:IBM). [read post]
5 Mar 2015, 6:37 am
The topic of venture exchanges and small-cap securities will be examined at a Senate Banking Committee subcommittee hearing on March 10. [read post]
13 Feb 2017, 1:47 pm
District Court in Baltimore, alleges violations of the Securities Exchange Act and Securities and Exchange Commission ... [read post]
11 Feb 2010, 10:00 am
Securities and Exchange Commission (SEC) announced amendments to the proxy rules under the Securities Exchange Act of 1934 to require companies that have received TARP money to permit a shareholder advisory vote on executive compensation. [read post]
6 Sep 2012, 5:41 am
Securities and Exchange Commission. [read post]
9 May 2011, 8:00 am
The first presentation of the 43rd Annual Rocky Mountain Securities Conference was a presentation by Commissioner Troy Paredes of the Securities and Exchange Commission. [read post]
9 May 2013, 6:27 am
Securities and Exchange Commission. [read post]
20 Apr 2014, 6:00 am
Securities and Exchange Commission. [read post]
12 Jul 2012, 11:03 am
Securities and Exchange Commission through disguised transactions and insider trading that involved a foreign company. [read post]
12 Mar 2021, 7:59 am
But the Chinese campaign, which breached Microsoft Exchange servers, was unfocused and dangerous—and the U.S. should respond accordingly. [read post]
20 Dec 2017, 11:59 am
Securities and Exchange Commission (SEC) published its bold attempt to modernize the disclosure requirements for mining companies that are listed on U.S. stock exchanges or otherwise report to the SEC. [read post]
14 Mar 2019, 3:51 pm
As we previously reported, the U.S. [read post]
3 Nov 2020, 6:17 am
Securities and Exchange Commission. [read post]
20 Mar 2023, 8:50 am
The U.S. [read post]
21 Nov 2014, 8:21 am
On November 19, the Securities and Exchange Commission voted to adopt new rules designed to strengthen the technology infrastructure of the U.S. securities markets. [read post]
12 Oct 2009, 4:01 am
Securities and Exchange Commission â [read post]
