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About 845 results for "federal security and exchange commission"

Exclusive - U.S. SEC official dissented on BNP Paribas waiver
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Donna Jessee Tucker

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23053 / July 31, 2014 Securities and Exchange Commission v. , Civil Action No. 7:14-cv-00398 (W.D. Va.) SEC Charges Virginia-Based Broker with Stealing Funds from Elderly Customers The ... SEC, 8 hours ago

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Nigeria Punch, 3 days ago
KansasCity.com, 1 week ago
Reuters, 6 days ago
The Nation Nigeria, 1 week ago
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Miami Herald, 1 week ago
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SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers

— The Securities and Exchange Commission today charged a broker based in Roanoke, Va., with defrauding elderly customers, including some who are legally blind, by stealing their funds for her personal use and falsifying their account ...
 SEC15 hours ago
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Facebook says SEC's IPO probe ends, extending WhatsApp closing date

Facebook Inc said the U.S. Securities and Exchange Commission dropped its probe into the social networking company over events surrounding its controversial initial public offering. In its quarterly report filed on Thursday, Facebook said the regulator in May ...
 Sify6 days ago

Federal regulators to monitor SECs new money-market fund rules

WASHINGTON (MarketWatch) -- A group of federal regulators suggested they're not entirely convinced the Securities and Exchange Commission's just-passed money-market-fund rule will work.
 Big News Network1 hour ago Federal regulators to monitor SEC's new money-market fund rules  TD Ameritrade16 hours ago
BDlive

US banks face review on swap rules

WASHINGTON — Wall Street banks face heightened scrutiny from the Commodity Futures Trading Commission (CFTC) over their latest tactic to escape US trading rules for overseas derivatives. The regulator sent letters on Wednesday to JPMorgan Chase, ...
 BDlive1 hour ago Financial services update July 21 2014 federal rules effective dates  Lexology4 hours ago CFTC Scrutinizes Swaps Practice  Treasury & Risk Management17 hours ago

Financial services update July 28 2014 exchanges and self-regulatory organizations

Chicago Board Options Exchange Amendment to Give Up of Clearing Trading Permit Holder Rule Approved On July 24th, the SEC approved the Chicago Board Options Exchange's proposed amendment of Rule 6.21 to provide that a Trading Permit Holder (TPH) ...
 Lexology5 hours ago

Judge Stays Insurer's Case Against Dewey Defendants

Photo by A federal court judge in Iowa has granted a stay in Aviva Life and Annuity Company's civil lawsuit against three former Dewey & LeBoeuf executives for allegedly making false and misleading statements as part of a 2010 bond offering. ...
 American Lawyer.com11 hours ago

US gunmaker fined $2m for bribes

WASHINGTON - Smith & Wesson, one of United States' largest gun manufacturers, will pay federal regulators more than $2 million to settle charges that it illegally bribed officials in Pakistan and other countries to supply their military and law ...
 The Nation Pakistan9 hours ago

FMDQ reiterates commitment to market efficiency, transparency

…As Alade emerges new Chairman THE Financial Market Dealers Quotation (FMDQ) OTC Plc, has stressed its commitment to continue to focus on market efficiency by creating innovative products that would drive liquidity and transparency in the ...
 The Guardian Nigeria12 hours ago
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OICCO ACQUISITION IV, INC. FILES (8-K) Disclosing Unregistered Sale of Equity Securities, Changes in Control or Registrant, Change in Directors or Principal Officers, Change in Shell Company Status, Financial Statements and Exhibits

[July 31, 2014] (Edgar Glimpses Via Acquire Media NewsEdge) Item 3.02 Unregistered Sales of Equity Securities. As previously disclosed, on April 11, 2014 OICco Acquisition IV, Inc. entered into that certain Share Exchange Agreement ...
 TMC Net18 hours ago
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