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About 824 results for "federal security and exchange commission"

Watchdog wants change in SET board
Bangkok Post

Matthew White et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23607 / July 28, 2016 Securities and Exchange Commission v. , No. 1:16-cv-2715-WSD (N.D. Ga. Filed July 27, 2016) SEC Obtains Asset Freeze in Case of Investor Funds Stolen for ... SEC Filings, 23 hours ago
Rosalind Herman SEC Filings, 1 day ago
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849 images for federal security and exchange commission

Columbus Republic, 3 months ago
Irish Times, 2 days ago
Seeking Alpha, 2 hours ago
Myanmar Business Today, 1 week ago
Tass.ru, 1 day ago
Irish Times, 2 weeks ago
Sputnik, 2 weeks ago
Spy News Agency, 1 week ago
The Express Tribune, 2 weeks ago
Reuters UK, 2 weeks ago

SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees

— The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren't registered to sell investments and allegedly went on lavish shopping sprees with more than $5 million raised from investors to ...
 SEC Filings1 day ago SEC freezes investor funds stolen for shopping sprees  Automated Trader13 hours ago SEC UNITED STATES SECURITIES AND EXCHANGE : Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees  4 Traders1 day ago SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades  SEC Filings3 days ago
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Nuveen Commodity Funds Provide Update on Proposed Conversion to ETF Structure

Nuveen, an operating division of TIAA Global Asset Management, today announced that the Securities and Exchange Commission (SEC) has extended the review period for the proposed new exchange rule pursuant to which shares of Nuveen Diversified ...
 Financial Buzz22 hours ago NUVEEN : Commodity Funds Provide Update on Proposed Conversion to ETF Structure  4 Traders1 day ago
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First Post.com

U.S. SEC freezes assets of Utah-based Ponzi scheme operator

WASHINGTON, July 28 (Reuters) - The U.S. Securities and Exchange Commission said on Thursday it had frozen the assets of the operator of a Utah-based Ponzi scheme that raised more than $207 million from investors worldwide, mainly in the United ...
 Sharenet1 day ago SEC freezes assets of Utah-based Ponzi scheme operator  Business Insider1 day ago
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Federal Register

Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers

. On May 27, 2016, The Depository Trust Company (DTC) filed with the Securities and Exchange Commission (Commission) proposed rule change SR-DTC-2016-003 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (Act), [1] and Rule ...
 Federal Register2 days ago Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Tied to Stock Orders  Federal Register9 hours ago Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 6, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares  Federal Register1 day ago Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tic  Federal Register2 days ago
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Securities and Exchange Commission: Interim Final Temporary Rules, Say What?

Visitors to the Securities and Exchange Commission 's website will find a pull-down menu entitled Regulation.One of the items on that menu has the oxymoronic title of Interim Final Temporary Rules.How can a rule be both interim (meaning provisional ...
 National Law Review1 day ago Interim Final Temporary Rules, Say What?  JD Supra1 day ago

Treasurer wants company climate risk disclosures required

State Treasurer Beth Pearce has asked the Securities and Exchange Commission to bolster reporting requirements for publicly traded companies to include disclosing risks to the climate. Pearce made the request July 20 in a letter asking the SEC to ...
 VTDigger.org1 day ago Companies oppose mandatory disclosures on environmental, social issues under US securities laws - former Treasury Secretaries support it  Business & Human Rights3 days ago

Finance Minister held a meeting with Chairman, Securities and Exchange Commission of Pakistan (SECP) and other SECP officials

Home » Fund News , Press Releases Finance Minister, Senator Mohammad Ishaq Dar held a meeting with Chairman, Securities and Exchange Commission of Pakistan (SECP) and other SECP officials here on Monday. The meeting was briefed on the progress ...
 Pakistan Press International1 week ago

Federal Court Orders Israeli Web-based Firms, Vault Options, Ltd. and Global Trader 365,...

Washington, DC The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John Z. Lee of the U.S. District Court for the Northern District of Illinois entered an Order of Final Judgment by Default (Order) that requires ...
 CFTC.gov1 day ago

State Street to Return $75 Million in Profits from Alleged Misleading Foreign Exchange Practices

BOSTON State Street Bank and Trust Company (State Street) will return $75 million in profits to resolve allegations it provided misleading information as to how it priced foreign exchange transactions, Attorney General Maura Healey announced today.
 Mass.gov1 day ago State Street to pay millions in fines to SEC, Justice Deptartment  The Hill2 days ago State Street Bank to Pay $382 Million to Settle Allegations of Fraudulent Foreign Currency Exchange Practices  United States Department of Justice3 days ago AG: State Street will return $75M in profit in transactions flap  4 Traders19 hours ago
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