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About 867 results for "us securities and exchange commission"

SEC commissioner says US struggling with  post-crisis reforms
The New Daily

SEC commissioner says US post-crisis banks reforms 'halfway done'

A commissioner from the US Securities and Exchange Commission says the biggest challenge facing US regulators is implementing financial reforms introduced in the wake of the global financial crisis. Mike Piwowar was appointed as a commissioner at ... ABC Online, 1 day ago

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Reuters, 3 days ago
Lawyer Herald, 6 days ago
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Lawyer Herald, 1 week ago
CNBC, 2 weeks ago
Reuters, 2 weeks ago
Atlanta Journal And Constitution, 2 weeks ago
Business Insider, 1 week ago
Investing.com, 4 weeks ago
CNBC, 1 month ago

HPIL Holding (HPIL: OTCQB) | HPIL Holding Files Definitive Schedule 14C Information Statement With the US Securities and Exchange Commission

HPIL Holding Files Definitive Schedule 14C Information Statement With the US Securities and Exchange Commission Dec 19, 2014 OTC Disclosure & News Service -  Pink Sheets5 hours ago HPIL Holding Files Definitive Schedule 14C Information Statement With the US Securities and Exchange Commission  Stockwatch5 hours ago HPIL : Files Definitive Schedule 14C Information Statement With the US Securities and Exchange Commission  4 Traders5 hours ago
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MSN UK

SEC dropping Herbalife insider-trading case after witnesses leave U.S.

The Securities and Exchange Commission is dropping an insider-trading case against a man who was tipped off to Bill Ackman's bearish bet on Herbalife stock. The SEC is seeking to withdraw its case against Jordan Peixoto because two essential ...
 Los Angeles Times3 days ago SEC Drops Herbalife Inside-Trade Case After Witnesses Leave U.S.  Bloomberg3 days ago
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Business Standard India

Don't ban upfront commission, AMCs ask Sebi

nd officials and the Securities and Exchange Board of India (Sebi), they instead proposed a cap on the payouts, to quell concern over high commissions and mis-selling. The meeting was attended by about 15 chief executive officers (CEOs) of AMCs. The ...
 Business Standard India2 days ago
Business Standard

SEC postpones case against Indians running illegal scheme, duo untraceable

The US Securities and Exchange Commission has postponed proceedings against two Indians charged with running an illegal high-yield investment scheme out of India
 Business Standard2 days ago US charges two Indians with conning investors with social media  Prokerala1 month ago U.S Charges Two Indians With Conning Investors With Social Media  Silicon India1 month ago SEC alleges $129m pyramid scheme  Himalayan times2 months ago
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Reuters

US SEC says dropping insider trading case related to Herbalife

WASHINGTON, Dec 15 (Reuters) - The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife. The SEC's enforcement division sought to dismiss the civil ...
 CNBC3 days ago UPDATE 1-US SEC says dropping insider trading case related to Herbalife  Reuters UK3 days ago U.S. SEC says dropping insider trading case related to Herbalife  Reuters3 days ago
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Tax regulatory fears mar sentiments of e-tailing firms

Over the weekend global e-tailer Amazon in a filing to the US Securities and Exchange Commission cautioned investors about issues related to interpretation of India's laws which could potentially impact its business plans.
 Money Control1 month ago

U.S. Securities and Exchange Commission (SEC) Awards Concept Plus, LLC $15.6M Contract for Oracle Delivery Center

 Securities Technology Monitor3 days ago ORACLE : U.S. Securities and Exchange Commission (SEC) Awards Concept Plus, LLC $15.6M Contract for Oracle Delivery Center  4 Traders3 days ago
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SEC claws back Saba Software CEO pay over accounting fraud

(Reuters) - The U.S. Securities and Exchange Commission on Wednesday said Saba Software Inc's former chief executive will repay his Silicon Valley-based company $2.57 million of bonuses, incentive pay and stock sale profits as part of a settlement over an ...
 Reuters2 months ago

SEC Accuses Unregistered Broker/Dealer Of Defrauding Seniors

The Securities and Exchange Commission accused an unregistered broker/dealer in Staten Island, N.Y. of running a fraudulent boiler room scheme that targeted seniors. According to an SEC statement , Premier Links Inc. would cold-call names from a ...
 WealthManagement.com3 hours ago SEC charges Staten Island firm for defrauding $9 million from seniors  TD Ameritrade1 day ago
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