Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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30 Dec 2009, 9:35 am
The Securities and Exchange Commission (SEC) has charged Harold. [read post]
8 Apr 2011, 2:15 pm
government through September, the Securities and Exchange Commission can resume its various rulemaking and enforcement efforts.As part of its many Dodd-Frank Act mandates, the SEC is working on finalizing new disclosure rules regarding conflict minerals and mine safety. [read post]
6 Dec 2019, 12:39 am
featured in today's Securities Industry Commentator:The end of the traditional IPO: Airbnb, Gitlab and others consider direct listings as banks begin to come around (CNBC.com)Testimony on “Oversight of the Securities and Exchange Commission” Before the U.S. [read post]
7 May 2021, 11:36 am
The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). [read post]
15 Nov 2016, 5:36 pm
Securities and Exchange Commission. [read post]
30 Sep 2021, 6:13 am
Securities and Exchange Commission. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
15 Mar 2023, 10:25 am
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and…Read the Full Press ReleaseHave a securities law question? [read post]
2 Oct 2011, 6:15 am
Securities and Exchange Commission. [read post]
20 Mar 2015, 8:54 am
Securities and Exchange Commission, came out in favor of creating of new rules to harmonize standards of care between investment advisers and brokers. [read post]
13 Dec 2017, 11:45 am
On December 5, 2017 the Securities and Exchange Commission (“SEC”) awarded more than $4.1 million to a whistleblower for alerting the SEC to a multi-year securities fraud engaged in by his employer. [read post]
5 Oct 2020, 9:15 am
Treasuries According to a press announcement on Sept. 29, the Securities and Exchange Commission (SEC) announced charges against J.P. [read post]
3 Jul 2015, 6:01 am
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities listed on U.S. stock exchanges to adopt and enforce clawback policies applicable to incentive-based compensation received by current and former executives in the three-year period preceding the date the issuer is required to prepare an accounting restatement due to material noncompliance with financial reporting requirements. [read post]
25 Jan 2011, 6:38 pm
Securities and Exchange Commission is doing likewise, the financial industry is girding for some potentialy massive changes. [read post]
10 Nov 2015, 6:21 am
Securities and Exchange Commission (SEC) established the ongoing reporting regime for U.S. [read post]
21 Aug 2014, 6:06 am
Securities and Exchange Commission. [read post]
5 Jan 2023, 3:15 am
” In fact, a looming enforcement sweep tops his list of 12 crypto predictions for 2023: An Enforcement sweep carried out by the U.S. securities and Exchange Commission (SEC) of crypto-intermediaries is clearly coming in 2023. [read post]
20 Jun 2008, 2:32 pm
District Court judge again dismisses securities case against Merchant Capital LLC": law.com provides a report that begins, "Judge Marvin Shoob has again dismissed a fraud case by Atlanta lawyers for the Securities and Exchange Commission against an investment company, despite a strong suggestion from a federal appeals court that the investment company did wrong and deserved to be punished. [read post]
6 Sep 2012, 5:39 am
Securities and Exchange Commission. [read post]
