Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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26 Jan 2013, 8:59 pm
Securities and Exchange Commission. [read post]
14 May 2021, 8:31 am
Securities and Exchange Commission (SEC) to regulate the securities markets in the United States, and it routinely issues Investor Alerts warning of risks for individual investors. [read post]
9 May 2018, 6:02 am
Securities and Exchange Commission (SEC) might bar IPO-related lawsuits in lieu of arbitration. [read post]
22 Mar 2016, 6:19 am
Securities and Exchange Commission. [read post]
9 Aug 2017, 6:00 am
Securities and Exchange Commission (SEC) reminded the industry and so-called “disruptors” that federal securities laws may apply to some of these offerings. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
9 Nov 2017, 1:40 pm
Buck has also agreed to a monetary settlement with the Securities and Exchange Commission (“SEC”) in the amount of approximately $5 million. [read post]
15 Jun 2016, 6:10 am
Securities and Exchange Commission. [read post]
23 Feb 2010, 10:28 pm
Securities and Exchange Commission SEC Toyota’s product defect issues involving accelerator pedal recalls have generated over 60 lawsuits. [read post]
22 Sep 2008, 12:04 am
Securities and Exchange Commission today approved amendments to its emergency order of September 18 (Release No.... [read post]
17 Jan 2020, 11:41 am
Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will report on its findings regarding the state of capital formation for small businesses and its latest recommendations to the Commission during a…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2023, 8:52 am
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. [read post]
20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [read post]
4 Mar 2011, 7:16 am
Securities and Exchange Commission, before the United States Senate Committee on Agriculture, Nutrition and Forestry on... [read post]
10 Feb 2016, 11:25 am
The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with its dealing activity to include that transaction in determining whether it is required to register as a security-based swap dealer. [read post]
21 Feb 2007, 1:12 pm
Securities and Exchange Commission to revise its securities law enforcement policies that pressure corporate clients to waive attorney client privilege, work product protections and legal protections for employees during investigations. [read post]
30 Apr 2021, 1:35 pm
Treasury between 1987 and 2020, with inspiring the creation of similar programs to financially reward whistleblowers whose tips lead to successful enforcement actions at the following five U.S. agencies – the Internal Revenue Service (IRS) for tax evasion and tax law violations, the Securities and Exchange Commission (SEC) for violations of securities law and the Foreign Corrupt Practices Act, the Commodity Futures Trading Commission (CFTC)… [read post]
5 Nov 2019, 11:35 am
Securities and Exchange Commission. [read post]
30 Jun 2020, 11:20 am
Court of Appeals for the District of Columbia Circuit held that the Securities and Exchange Commission (“SEC”) lacks the authority to administer a two-year pilot program designed to review the fees and rebate structure used by U.S. stock exchanges. [read post]
19 Dec 2019, 6:21 am
Securities and Exchange Commission. [read post]
