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About 974 results for "securities exchange commission"

A Closer Look With Arthur Levitt: Eugene Soltes (Audio)

Arthur Levitt, former chairman of the U.S. Securities and Exchange Commission, interviews Eugene Soltes, author of, "Why They Do It: Inside the Mind of the White-Collar Criminal," on "A Closer Look With Arthur Levitt." producer: Arthur Levitt ... Bloomberg, 20 hours ago

965 images for securities exchange commission

MSN Philippines, 14 hours ago
Financial Express, 16 hours ago
Yahoo! Finance, 20 hours ago
Zimbabwe Herald, 1 day ago
Zimbabwe Daily, 1 day ago
Australian Financial Review, 2 days ago
Australian Financial Review, 4 days ago
The Guardian Nigeria, 2 days ago
Time, 1 day ago
The Guardian Nigeria, 2 days ago
Sify

Exclusive - Snapchat has filed confidentially for its IPO: sources

(Reuters) - Messaging app Snapchat has filed confidentially with the Securities and Exchange Commission (SEC) for an initial public offering (IPO), sources familiar with the situation said on Tuesday.
 Business Standard2 weeks ago Snapchat files for one of the biggest tech IPOs in years  Sify2 weeks ago
Sify

Sebi likely to clear more commodities for trading

The Securities and Exchange Board of India (Sebi) on Friday said it would consider allowing more products in the commodity derivatives market once it is able to put in place a strong and robust risk management and surveillance mechanism. The regulator said ...
 Asian Age2 months ago One year of FMC-SEBI merger, market awaits roadmap on growth  Money Control2 months ago India to allow options trading in commodity markets  Sify2 months ago

MF distributors unfazed by direct plans eating into commissions

In a move to popularise mutual funds, the capital market regulator Securities and Exchange Board of India has been pushing hard for reforms.
 Money Control2 months ago
Tech2

US Securities and Exchange Commission may make Yahoo the test case of data breach disclosure rules

Yahoo's disclosure that hackers stole user data from at least 500 million accounts in 2014 has highlighted shortcomings in U.S. rules on when cyber attacks must be revealed and their enforcement. The post US Securities and Exchange Commission may make Yahoo ...
 Tech22 months ago
Sify

SEC says UBS to pay $15 mln over sales practices

WASHINGTON/NEW YORK (Reuters) - UBS Group AG agreed to pay more than $15 million to settle U.S. Securities and Exchange Commission charges that a failure to properly train its sales force led to the sale of hundreds of millions of dollars of unsuitable ...
 Sify2 months ago
Money Control

JPMorgan to settle US government probe of China hiring: Source

The bank will pay roughly USD 200 million combined to the Securities and Exchange Commission and the Justice Department and more than USD 50 million to the Federal Reserve, the source said.
 Money Control2 weeks ago JPMorgan to settle U.S. government probe of China hiring - source  Sify2 weeks ago JPMorgan to settle China hiring probe  First Post.com2 weeks ago Two years in, the hits and misses from the Fadnavis government  Rediff.com1 month ago
Federal Register

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Investors Exchange, LLC as a Party Thereto

. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (Act)‚ÄČ [] and Rule 608 thereunder, [] notice is hereby given that on November 4, 2016, Investors Exchange, LLC (IEX or Exchange) filed with the Securities and Exchange ...
 Federal Register2 hours ago Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Disaster Recovery  Federal Register2 hours ago Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders  Federal Register1 day ago Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products  Federal Register2 days ago

Zendesk Reveals Executives Resignations; Shares Fall

In a Securities and Exchange Commission filing, the company said that Amanda Kleha planned to resign as Senior Vice President, Go to Market Strategy, effective as of Dec. 30. Additionally, Marcus Bragg has notified the company of his intention to ...
 Nasdaq9 hours ago Zendesk shares fall after exec resignations announced  TD Ameritrade18 hours ago UPDATE: Zendesk shares fall after exec resignations announced  TD Ameritrade6 hours ago
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The SEC Wants To Know How $3 Billion Disappeared At This Coal Mine

Valuation of resource projects is becoming a hot topic in regulatory circles. With the U.S. Securities and Exchange Commission (SEC) earlier this year investigating ExxonMobil's practices around estimating the worth of in-ground oil reserves. And ...
 EnvironmentGuru.com15 hours ago New SEC Guidance on Five Business Day Debt Tender and Exchange Offers  JD Supra1 day ago FG affirms SEC as sole approving authority for securities issuance  Daily Times Nigeria2 days ago U.S. senator seeks SEC probe of Yahoo disclosure on hacking  Reuters2 months ago
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