Facebook Gets Pass from SEC
- Does SEC have authority? Collins, Daniel P. // Futures: News, Analysis & Strategies for Futures, Options & Deri;Nov2004, Vol. 33 Issue 14, p22
The article focuses on comment letters written to the U.S. Securities and Exchange Commission (SEC) regarding its proposal to register hedge funds. Some letters supported the SEC's proposal, some opposed it, some asked certain entities be exempted from it and some offered alternative measures,...
- Fenwick & West adds Kaye Scholer partner to nascent Shanghai base. Taylor, Margaret // Lawyer (Online Edition);1/21/2015, p6
The article announces that law firm Fenwick & West in Silicon Valley, California hired Niping Wu as corporate partner to its Shanghai office in China.
- A Record IPO Fine for Nasdaq. Tran, Hung // Money Management Executive;6/3/2013, Vol. 21 Issue 22, p3
The article discusses the U.S. Securities and Exchange Commission's (SEC) decision to fine the stock exchange National Association of Securities Dealers Automated Quotations (Nasdaq) for violating securities laws. It states that Nasdaq botched the initial public offering (IPO) of the social...
- SEC's Access Rule Could Split High Frequency Market. Hintze, John // Securities Industry News;1/25/2010, Vol. 22 Issue 2, p5
The article discusses skepticism on the U.S. Securities and Exchange Commission's (SEC) Rule 15d3-5, requiring pre-trade checks but giving broker-dealers flexibility to adjust market-access proposal.
- Citi, Freddie May Join 'Subpenny' Test. // American Banker;5/4/2010, Vol. 175 Issue 68, p16
The article discusses a request by financial firms including Citigroup Inc. and Freddie Mac that the U.S. Securities and Exchange Commission (SEC) allow them to join a pilot test which would enable them to trade select securities in increments of less than one cent.
- SEC Analysis Methodology and Categories. // Public Accounting Report;3/15/2010, Vol. 34 Issue 5, p2
The article reports on the analysis made by the U.S. Securities and Exchange Commission (SEC) for the registrants who terminated or violated the securities registration or not filed their documents since March 1, 2009.
- ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp.; Order of Suspension of Trading. Peterson, Jill M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65768
The article presents a notice from the U.S. Securities and Exchange Commission (SEC) about the suspension of trading involving ADS Media Group Inc., American Enterprise Development Corp. and Arcland Energy Corp.
- Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65784
The article focuses on the proposed rules of the U.S. Securities and Exchange Commission (SEC) about the registration of security-based swap dealers.
- SEC Extends Rules on Discipline, Fair Dealing to Mimi Advisers. ACKERMAN, ANDREW // Bond Buyer;12/27/2010, Vol. 374 Issue 33439, p7
The article reports on the approval made by the Securities and Exchange Commission (SEC) concerning the Municipal Securities Rulemaking Board proposal which is to extend its Rules G-17 on fair dealing and G-5 on disciplinary actions to municipal advisers in the U.S.