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About 823 results for "federal security and exchange commission"

BGL faults SEC's sanction, says it's illegal

WorldStage Newsonline-- BGL Securities has faulted the sanctions slammed on it by the Securities and Exchange Commission, saying the regulatory bosy disregarded judicial process before doing so. The SEC, through its Administrative Proceedings ... World Stage Group, 2 days ago
David B. Kaplan, Esq., et al. SEC Filings, 4 days ago

248 images for federal security and exchange commission

Columbus Republic, 1 month ago
Citizen.co.za, 6 days ago
Breitbart.com, 6 days ago
Mens Journal, 1 month ago
NewsMax.com, 1 week ago
PhysOrg.com, 6 days ago
Irish Times, 1 week ago
Reuters, 6 days ago
Minyanville, 2 weeks ago
Investing.com, 4 days ago
Investing.com

SEC fines Federated Investors for oversight shortfalls

By Jonathan Stempel May 27 (Reuters) - Inc will pay a $1.5 million fine to settle U.S. Securities and Exchange Commission charges that it failed to properly monitor whether outside consultants it employed might have misused potential market-moving ...
 Yahoo! Finance4 days ago Three more pharma giants subpoenaed in charity investigation  BioPharma Dive4 days ago
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Nasdaq

Federated Fined Due to the Oversight of Consultant Ties

Federated Investors, Inc. FII is set to pay a $1.5 million fine to resolve charges of the Securities and Exchange Commission (SEC). The regulator claimed that the Pittsburgh, PA-based investment manager's subsidiary Federated Global Investment ...
 Yahoo! Finance1 day ago
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Reuters

Blood-Test Company Theranos Faces Lawsuit for Consumer Fraud

Embattled blood-test company Theranos Inc. is under investigation by the U.S. Securities and Exchange Commission, federal prosecutors in San Francisco, and federal and state health regulators. Now, adding to its woes, the company has been accused in ...
 P&T Community5 days ago Virginia's Governor — A Longtime Hillary Clinton Ally — Is Under Federal Investigation  VICE News1 week ago Theranos under investigation by several U.S. regulators  Reuters1 month ago
USA Today

Accused fraudster applied for St Kitts-Nevis citizenship by investment

By Caribbean News Now contributor RENO, USA -- The US Securities and Exchange Commission (SEC) announced on Friday that it has filed fraud charges against an attorney and Nevada resident David Kaplan based on an allegedly fraudulent scheme that ...
 Caribbean News Now!1 day ago SEC probes Alibaba's Singles Day; stock drops  USA Today6 days ago Alibaba says SEC is investigating its accounting practices  CHINAdaily.com.cn6 days ago Alibaba Singles' Day data under US probe  Hong Kong Standard6 days ago
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Federal Register

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 Thereto, To

. On November 18, 2015, BATS Exchange, Inc. (now known as Bats BZX Exchange, Inc., Exchange)  [1] filed with the Securities and Exchange Commission (Commission), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (Act)  [2] ...
 Federal Register5 days ago Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Add Additional Order Types to the NYSE BondsSM  Federal Register5 days ago Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca  Federal Register5 days ago Deutsche Boerse : Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection  4 Traders5 days ago
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The Fiscal Times

Funding battle begins with House bill on regulators, agencies

The legislation, which covers funding for the Securities and Exchange Commission, the Treasury Department, the judiciary branch and others, passed the House of Representatives Financial Services Subcommittee and now goes to the full Appropriations ...
 The Fiscal Times6 days ago Funding battle begins with U.S. House bill on regulators, agencies  Reuters UK6 days ago
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Yahoo! India

SEC says cyber security biggest risk to financial system

WASHINGTON: Cyber security is the biggest risk facing the financial system, the chair of the US Securities and Exchange Commission (SEC) said on Tuesday, in one of the frankest assessments yet of the threat to Wall Street from digital attacks. ...
 DAWN Group1 week ago
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Supreme Court Clarifies Jurisdiction Under Securities Exchange Act

, the U.S. Supreme Court ruled that the provision of the Securities Exchange Act of 1934 granting federal district courts exclusive jurisdiction over suits brought to enforce the Exchange Act is subject to the same jurisdictional test established by ...
 National Law Review2 weeks ago Supreme Court Clarifies When State Law Claims Are Removable Under the Securities Exchange Act of 1934  JD Supra1 week ago

EQUITY ALERT: Rosen Law Firm Announces Investigation of Securities Claims Against CBL & Associates Properties Inc. CBL

Rosen Law Firm, a global investor rights law firm, announces it is investigating potential securities claims on behalf of shareholders of CBL & Associates Properties Inc. (NYSE:CBL) resulting from allegations that CBL may have issued materially ...
 Stockwatch6 days ago Kroll Bond Rating Agency Publishes Research: Should the Federal Reserve System Pay Interest on Bank Reserves? Yes.  Digital Journal6 days ago SHAREHOLDER ALERT: Levi & Korsinsky, LLP Announces the Commencement of an Investigation Into Possible Securities Fraud Violations by Certain Officers and Directors of CBL & Associates Properties, Inc.  CNBC6 days ago CBL & Associates Properties, Inc. Investigated by Block & Leviton LLP for Violations of Federal Securities Laws after Report of FBI and SEC Probes  WorldNetDaily6 days ago
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