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About 878 results for "us securities and exchange commission"

ESSA Pharma Submits Draft Registration Statement on Form 20-F

ESSA Pharma reported that it has submitted to the United States Securities and Exchange Commission a registration statement on Form 20-F to register its common shares under the U.S. Securities Exchange Act of 1934. According to a release from the ..., 9 hours ago

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The Fiscal Times, 3 days ago
Lawyer Herald, 56 minutes ago
Epoch Times, 3 hours ago
The Fiscal Times, 1 week ago
Reuters UK, 8 hours ago
Lawyer Herald, 3 days ago
Reuters, 5 days ago
Brisbane Times, 6 days ago
Lawyer Herald, 1 week ago
The Fiscal Times, 2 weeks ago
Times of India

Alibaba quizzed by US regulator

Alibaba Group has said that it was asked by the US Securities and Exchange Commission for information about its dealings with a Chinese regulator.
 Times of India2 weeks ago China's Alibaba attracts attention from U.S. regulator  Reuters2 weeks ago China’s Alibaba attracts attention from US regulator  Tech22 weeks ago
Business Standard

Indian-American couple charged with insider trading

The US Securities and Exchange Commission (SEC) has charged an Indian-American couple with insider trading on confidential information obtained from a corporate client. California-based attorney Shivbir Grewal and his wife, Preetinder Grewal, sold all of ...
 Business Standard2 months ago SEC postpones case against Indians running illegal scheme, duo untraceable  Business Standard2 months ago

SEC eyes transfer agents in new front against US stock fraudsters

The US Securities and Exchange Commission is in the early stages of drafting new rules for transfer agents. WASHINGTON: In their battle to root out microcap stock fraudsters, US securities regulators are turning their attention to the obscure world of ...
 Economic Times1 month ago

US Securities and Exchange Commission's new investor watchdog lays out risky products for 2014

US securities investor watchdog office on Tuesday unveiled its list of the top products and practices that bedeviled mom and pop investors in 2014. WASHINGTON: The US securities investor watchdog office on Tuesday unveiled its list of the top products and ...
 Economic Times2 months ago

U.S. commissioner calls for more rigorous review of risky ETFs

Securities and Exchange Commission Democratic member Kara Stein called for the reforms as part of a three-page dissent over a rule change that paved the way for seven new exchange-traded funds from AccuShares Investment Management LLC to list on the ...
 ExchangeTradedFunds.com1 day ago US Securities and Exchange Commission plans to level playing field for newer ETF firms  Economic Times8 hours ago Exclusive: SEC plans to level playing field for newer ETF firms  Yahoo! UK and Ireland8 hours ago REUTERS - EXCLUSIVE-SEC plans to level playing field for newer ETF firms  Namibia Press Agency9 hours ago

SEC probes Blackberry options trading ahead of Reuters report about Samsung talks

NEW YORK (Reuters) - The U.S. Securities and Exchange Commission is investigating a January 14 spike in trading in BlackBerry Ltd options that took place hours before Reuters reported that Samsung Electronics Co was in talks to buy the Canadian smartphone ...
 Reuters3 weeks ago

Amer Realty Cap Ppties Files 8K Regulation FD >ARCP

American Realty Capital Properties Inc. (ARCP) filed a Form 8K Regulation FD Disclosure with the U.S Securities and Exchange Commission on March 02, 2015. As disclosed in Item 2.02 above, on March 2, 2015, the Company issued the Documents which ...
 iMarketReports3 hours ago Doral Financial Files 8K Bankruptcy Or Receivership >DRL  iMarketReports3 hours ago Emerge Energy Services Files 8K Other Events >EMES  iMarketReports3 hours ago Organovo Holdings Files 8K Regulation FD >ONVO  iMarketReports3 hours ago

MPLX : Files 2014 Form 10-K

FINDLAY, Ohio, Feb. 27, 2015 - MPLX LP (NYSE: MPLX) today filed with the U.S. Securities and Exchange Commission its Annual Report on Form 10-K for the fiscal year ended Dec. 31, 2014. The filing can be viewed through a link on MPLX's website at ...
 4 Traders1 hour ago

SEC settles with banker tied to Olympus accounting scandal

by The U.S. Securities & Exchange Commission settles civil charges against a banker implicated in the $2 billion accounting scandal that nearly sank Olympus. (Reuters) — Japanese banker Hajime "Jim" Sagawa settled civil charges last week ...
 MassDevice2 hours ago
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