Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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21 Mar 2015, 5:54 pm
Securities and Exchange Commission. [read post]
7 Jan 2010, 3:09 pm
Gail Henderson has posted the following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to... [read post]
15 Mar 2023, 9:25 am
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jul 2017, 6:05 am
The U.S. [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
16 May 2017, 6:21 am
Securities and Exchange Commission. [read post]
13 Aug 2012, 11:10 am
The U.S. [read post]
10 Jan 2011, 3:11 pm
Securities and Exchange Commission (“Commission”) is providing this report... [read post]
22 Jun 2009, 2:50 pm
Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate, on June 22, 2009. [read post]
16 Dec 2008, 10:24 pm
Securities and Exchange Commission in 1999. [read post]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [read post]
7 Oct 2009, 7:06 pm
Securities and Exchange Commission officials and top state securities regulators. [read post]
28 Jul 2017, 11:36 am
The SEC determined that the tokens issued by the DAO are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), and advised those who would use a distributed ledger or blockchain-enabled means for capital raising to take appropriate steps to comply with the U.S. federal securities laws. [read post]
28 Jul 2017, 11:36 am
The SEC determined that the tokens issued by the DAO are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), and advised those who would use a distributed ledger or blockchain-enabled means for capital raising to take appropriate steps to comply with the U.S. federal securities laws. [read post]
4 Aug 2017, 9:08 am
In a 1946 Supreme Court case Securities and Exchange Commission v. [read post]
24 Feb 2020, 1:01 pm
Securities and Exchange Commission. [read post]
8 May 2019, 12:36 pm
Securities and Exchange Commission. [read post]
27 Oct 2016, 8:18 am
Securities and Exchange Commission. [read post]
16 Oct 2009, 8:02 am
Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint report on the issue of regulatory harmonization. [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
