Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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4 Mar 2011, 1:28 pm
Securities and Exchange Commission Chairman Harvey Pitt as an expert witness today, following Pitt’s decision a week ago to cut short his own deposition... [read post]
22 Jul 2012, 4:58 pm
Background The Appellants, Scott and Brian Lines (the “Lines”), became the subjects of a complaint filed by the United States Security Exchange Commission (“SEC”) for alleged infractions of U.S. securities laws. [read post]
31 Oct 2019, 10:41 am
The Securities and Exchange Commission today charged XBT Corp. [read post]
29 Aug 2014, 6:00 am
Securities and Exchange Commission. [read post]
13 Nov 2010, 6:16 am
Securities and Exchange Commission. [read post]
14 Sep 2022, 8:30 am
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. [read post]
3 Dec 2012, 3:49 am
On November 30, 2012, the Securities Exchange Commission announced that it has filed a complaint in the Southern District of New York against China North East Petroleum Holdings Limited (“CNEP”) and a number of its current and former directors and officers (Securities and Exchange Commission v. [read post]
2 Apr 2019, 6:08 am
Securities and Exchange Commission (“SEC”). [2] In addition, the Advisory builds upon and incorporates the CFTC’s January 2017 and September 2017 Enforcement Advisories, which promised meaningful reductions in penalties where a company or individual self-reports, fully cooperates, and takes remedial measures (see our January 2017 and September 2017 client briefings). [read post]
23 Feb 2012, 8:52 am
On February 15, 2012, the Securities and Exchange Commission (SEC) announced that it is strengthening its rule on investment advisory performance fees. [read post]
1 Dec 2011, 7:52 am
The guidance is intended to assist registrants in preparing disclosure under both the Securities Act of 1933 (the 1933 Act) and the Securities Exchange Act of 1934 (the 1934 Act). [read post]
19 Oct 2018, 6:47 am
Securities & Exchange Commission Employees and Another Individual" (DOJ Release) https://www.justice.gov/usao-edca/pr/tracy-man-convicted-making-harassing-phone-calls-us-securities-exchange-commission. [read post]
18 Jun 2018, 7:38 am
Securities and Exchange Commission has declared that Bitcoin, Etherium and other coins operating on truly decentralized platforms are not securities. [read post]
9 May 2010, 5:57 am
Demutualization and Customer Protection at Self-Regulatory Financial Exchanges, by David Reiffen, U.S. [read post]
5 Jul 2015, 6:00 am
Securities and Exchange Commission. [read post]
6 Jan 2010, 2:46 am
See Securities and Exchange Commission v. [read post]
4 Nov 2010, 10:40 am
Securities and Exchange Commission regarding asset-backed-securities. [read post]
31 Jan 2014, 1:39 pm
Securities and Exchange Commission authorized the issuance of proposed rules... [read post]
27 Oct 2009, 9:41 pm
Securities and Exchange Commission, SIFMA Annual Conference, New York, New York, October 27, 2009 [read post]
17 Feb 2009, 7:44 am
Securities and Exchange Commission. [read post]
23 Jul 2014, 5:32 pm
Check out the Securities and Exchange Commission Historical Society, a virtual museum with lots of fascinating content: a timeline, original documents, oral histories, and more. [read post]
