Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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27 Feb 2024, 10:22 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
13 Sep 2011, 3:19 pm
(“D&T Shanghai”) in United States District Court for the District of Columbia for failing to produce documents related to the SEC’s investigation into possible securities fraud by the Shanghai-based public accounting firm’s longtime client Longtop Financial Technologies Limited, a foreign private issuer the securities of which are registered with the SEC and traded on U.S. markets. [read post]
9 May 2011, 10:00 am
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
16 Apr 2013, 8:42 am
This alert provides an overview of the Staff of the Securities and Exchange Commission’s address of frequently asked questions regarding Rule 15a-6 and foreign broker-dealers. [read post]
12 Jun 2011, 2:25 pm
Joan MacLeod Heminway has posted Sustaining Reform Efforts at the SEC: A Progress Report on SSRN with the following abstract: Many recent articles written by U.S. legal practitioners and law scholars in the wake of the financial crisis address regulatory... [read post]
11th Cir. Holds Failure to File Proof of Claim in Receivership Does Not Extinguish Security Interest
17 Apr 2017, 8:42 am
A copy of the opinion in Securities and Exchange Commission v. [read post]
11 Feb 2016, 12:11 pm
On February 10, the Securities and Exchange Commission (the “SEC”) adopted rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act to regulate both U.S. and foreign dealers who engage in security-based swap dealing activities in the U.S. [read post]
15 Feb 2022, 9:48 am
Securities and Exchange Commission). [read post]
27 Jan 2015, 6:04 am
Securities and Exchange Commission. [read post]
1 Oct 2015, 11:21 am
Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) on Sept. 15, 2015 issued Risk Alert to announce its new focus on cybersecurity of securities firms and registered investment advisers. [read post]
23 Nov 2010, 7:00 am
Securities and Exchange Commission proposed new rules that would require security-based swap data repositories (SDRs) to register with, and provide swap data to, the SEC. [read post]
20 Jun 2020, 1:50 am
Financial Industry Regulatory Authority, Appellee (Judgment, DCCir)Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding (SEC Release)Justice Department’s Antitrust Division And The Securities And Exchange Commission Sign Historic Memorandum Of Understanding (DOJ Release)Modernizing U.S. [read post]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
30 Aug 2016, 12:02 pm
Securities and Exchange Commission is the best friend of unemployed attorneys right now. [read post]
21 Sep 2007, 9:59 am
Securities and Exchange Commission is poised to examine the subprime mortgage market woes.... [read post]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
18 Jun 2009, 1:28 am
Securities and Exchange Commission released a statement Wednesday by Chairman Mary Schapiro regarding executive compensation. [read post]
30 Mar 2011, 1:34 pm
Securities and Exchange Commission; Federal Housing Finance Agency; and Department of Housing and Urban Development) are proposing... [read post]
18 Aug 2010, 2:55 pm
Department of the Treasury today announced that it has agreed to be named as a selling shareholder of common stock in General Motors Company's (GM) registration statement on Form S-1 filed with the Securities and Exchange Commission (SEC)... [read post]
31 Mar 2011, 12:18 pm
(Ally) in Ally’s registration statement filed with the Securities and Exchange Commission (SEC) for... [read post]
