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About 900 results for "securities exchange commission"

SEC Adopts Cross-Border Security-Based Swap Rules Regarding Ac...

) - 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 ... Newsfile, 11 hours ago
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120 images for securities exchange commission

Sun Star Network, 6 days ago
Reporters365, 10 hours ago
Reporters365, 10 hours ago
Live 5 WCSC, 2 weeks ago
Bulatlat.com, 5 days ago
The Morning Consult, 1 day ago
The Guardian Nigeria, 1 week ago
Winnipeg Free Press, 5 days ago
Breitbart.com, 5 days ago
Reuters, 1 week ago

SEC to vote on rules for swap dealers on US soil

The US Securities and Exchange Commission was set to vote on Wednesday on rules that would govern swaps involving foreign dealers with trading desks on US soil. Under the plan, transactions between non-US companies that use US personnel to arrange, negotiate ...
 Business Line22 hours ago Securities and Exchange Commission (SEC) - Meeting  Equities.com2 days ago ISE Mercury Secures Permission from SEC to Set Up New Securities Exchange  Equities.com3 days ago

Managed Security Services Enters a New Age

PRWeb In April, 2014, the US Security and Exchange Commission's Office of Compliance and Inspections and Examinations (OCIE) announced a new series of Cybersecurity guidelines that focused on both examination preparedness and security ...
 BioSpace23 hours ago
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Wells Fargo Securities Expands its Futures Commissions Merchant (FCM)

Industry veteran Robert Jones joins to help expand service for agribusiness sector CHARLOTTE, N.C.--(BUSINESS WIRE)-- Wells Fargo Securities , the investment banking and capital markets business of Wells Fargo & Company (NYSE: WFC ), announced ...
 CNBC1 day ago WELLS FARGO : Securities Expands its Futures Commissions Merchant (FCM)  4 Traders1 day ago
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AMFI, SEBI to soon sort out distributors' commission issue

The Association of Mutual Funds of India will shortly thrash out with the Securities and Exchange Board of India the issue of disclosure of distributors' commission in accounts statement. C V R Rajendran, CEO of AMFI, said at an Indian Chamber of Commerce ...
 Business Line4 days ago

TSX Venture Exchange Cease Trade Order

TSX Venture Company A Cease Trade Order has been issued by the British Columbia Securities Commission on February 5, 2016 against the following company for failing to file the documents indicated within the required time period: Failure to ...
 Bloomberg5 days ago

Barclays, Credit Suisse strike record deals with SEC, NY over dark pools

The settlements between the banks and the U.S. Securities and Exchange Commission and the New York state attorney general mark the two largest fines ever paid in connection with cases involving dark pools. The amount to be paid, in fines and disgorgement, is ...
 Economic Times1 week ago

MONSANTO : Announces Agreement with Securities and Exchange Commission

Agreement fully resolves previously announced investigation into customer incentive programs Monsanto Company (NYSE: MON) today announced that it has reached an agreement with the U.S. Securities and Exchange Commission (SEC) fully resolving a ...
 4 Traders1 day ago Monsanto Announces Agreement with Securities and Exchange Commission  Yahoo! Finance UK and Ireland1 day ago
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SCICLONE PHARMACEUTICALS : Announces Final Resolution With The Securities And Exchange Commission And The Department Of Justice

FOSTER CITY, Calif., Feb. 4, 2016 /PRNewswire/ -- SciClone Pharmaceuticals, Inc. (NASDAQ: SCLN) (the "Company") today announced it has entered into a settlement agreement with the United States Securities and Exchange Commission (SEC) fully ...
 4 Traders6 days ago SciClone Announces Final Resolution With The Securities And Exchange Commission And The Department Of Justice  Asian Hospital & Healthcare Management6 days ago
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Nutritional High Announces the Filing of Form F-1 With the US Securities and Exchange Commission; Closing of $0.05 Private Placement and Debt Settlements

TORONTO, ONTARIO -- (Marketwired) -- 02/04/16 -- - Nutritional High International Inc. (the "Company" or "Nutritional High") (CSE:EAT) (OTCQB:SPLIF) is pleased to announce that it has filed Form F-1 with the United States Securities and Exchange ...
 Nasdaq6 days ago Nutritional High Intl Inc. (SPLIF: OTCQB) | Nutritional High Announces the Filing of Form F-1 With the US Securities and Exchange Commission; Closing of $0.05 Private Placement and Debt Settlements  OTC Markets6 days ago
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