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About 237 results for "us securities and exchange commission..."

How CNX Coal Resources LP (CNXC) Stacks Up Against Its Peers

A whopping number of 13F filings filed with U.S. Securities and Exchange Commission has been processed by Insider Monkey so that individual investors can look at the overall hedge fund sentiment towards the stocks included in their watchlists. These ..., 1 month ago

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Business News Network, 2 weeks ago, 6 days ago
Reuters UK, 6 days ago
Reuters UK, 1 week ago
MSN Real Estate, 1 week ago, 1 week ago
Sky News Australia, 2 weeks ago
Yahoo! News, 1 week ago
Irish Independent, 2 weeks ago
Japan Times, 2 weeks ago

SEC United States Securities and Exchange : Moving Forward with the Commission's Disclosure Effectiveness Initiative

U.S. Securities and Exchange Commission [1] NASAA Corporation Finance Training, Houston, Texas Nov. 19, 2016 Thank you, Bill [Beatty], for that kind introduction and for not only inviting me to participate in this event today, but for ...
 4 Traders1 month ago Moving Forward with the Commission's Disclosure Effectiveness Initiative  SEC Filings1 month ago Examining the Dodd-Frank Act and the Future of Financial Regulation  SEC Filings2 months ago

Tenth Circuit Court of Appeals Finds SEC's Process for Designating Administrative Law Judges to be Defective, Causing Split with DC Circuit

, in Bandimere v. SEC,1 found the Administrative Law Judges (ALJs) used by the U.S. Securities and Exchange Commission (SEC) to hear its administrative enforcement cases to be inferior officers, subject to appointment under the Appointments Clause ...
 JD Supra1 week ago

Summary of New SEC Requirements for Open-End Fund Liquidity Risk Management and Amendments to Permit Use of Swing Pricing

, the U.S. Securities and Exchange Commission (Commission) unanimously adopted new Rule 22e-4 (Liquidity Rule) under the Investment Company Act of 1940 (the 1940 Act) and other regulatory changes that require each open-end fund, including ...
 JD Supra2 months ago

JP Morgan Securities to pay $900,000 for supervision failures: CFTC

WASHINGTON (Reuters) - The U.S. Commodity Futures Trading Commission said on Wednesday it ordered J.P. Morgan Securities LLC to pay $900,000 to settle charges it had failed to properly supervise employees over fees charged to customers trading on ...
 Metro.us1 week ago
Reuters UK

UPDATE 3-Yahoo says 1 bln accounts exposed in newly discovered security breach

A tattered flag bearing the Yahoo company logo flies above a building in New York, U.S., October 31, 2016. REUTERS/Lucas Jackson By Jim Finkle and Anya George Tharakan Yahoo Inc warned on Wednesday that it had uncovered yet another massive ...
 Reuters UK1 month ago

Land and Buildings Issues Letter on the Achilles Heel of the Taubman Family's Control Over Taubman C …

Taubman Centers, Inc. Audit Committee Board Members Messrs. Chazen, Tysoe, and Ullman c/o Jeffrey Miro General Counsel Honigman Miller Schwartz and Cohn LLP 39400 Woodward Avenue, Suite 101 Bloomfield Hills, Michigan 48304 Dear ...
 Yahoo! Finance1 month ago

2016 Year in Review: Securities Litigation and Regulation

2016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases. 1 It was also a busy year for SEC enforcement proceedings, with a record 868 cases filed, 548 of ...
 National Law Review1 week ago

BlackRock Group LTD Takes Position in People's Utah Bancorp (PUB)

BlackRock Group LTD acquired a new position in shares of People's Utah Bancorp (NASDAQ:PUB) during the third quarter, according to its most recent 13F filing with the Securities and Exchange Commission. The firm acquired 492,791 shares of the ...
 WKRB News1 week ago

National Industrial Security Program

Start Preamble Information Security Oversight Office, National Archives and Records Administration (NARA). Proposed rule. The Information Security Oversight Office (ISOO) of the National Archives and Records Administration (NARA), proposes ...
 Federal Register1 week ago
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