'securities exchange act' related content
Editorial content matching 'securities exchange act'
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58 days ago - News Articles
The Securities and Exchange Commission today charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older b...
58 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-45 Washington, D.C., March 21, 2013 — The Securities and Exchange Commission today charged Rajarengan “Rengan” Rajaratnam for his ...
64 days ago - News Articles
The Securities and Exchange Commission today announced that New York-based hedge fund advisory firm Sigma Capital Management has agreed to pay nearly $14 million to settle c...
64 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-42 Washington, D.C., March 15, 2013 — The Securities and Exchange Commission today announced that New York-based hedge fund advisory firm Sigm...
68 days ago - Emerald | Journal of Investment Compliance | Table of Contents
AbstractPurpose - The purpose of the article is to inform the various securities market participants about new Rule 5123 of the Financial Industry Regulatory Authority, Inc. (...
68 days ago - Emerald | Journal of Investment Compliance | Table of Contents
AbstractPurpose - The purpose of the article is to inform the various securities market participants about new Rule 5123 of the Financial Industry Regulatory Authority, Inc. (...
68 days ago - News Articles
The Securities and Exchange Commission today announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered brok...
68 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-36 Washington, D.C., March 11, 2013 — The Securities and Exchange Commission today announced charges against New York-based private equity fir...
72 days ago - News Articles
In recent years, the securities markets have undergone significant changes, and none has had more impact than the development of technology systems with ever-increasing spee...
72 days ago - News Articles
The Securities and Exchange Commission today charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through...