On September 4, the SEC announced it had settled charges against three affiliated registrants (the respondents) accused of violating the ...

Investopedia / Michela Buttignol Rule 10b5-1 is a Securities and Exchange Commission (SEC) regulation that allows insiders of public companies to set up a trading plan for selling stocks they own.

Seven companies settled with the Securities and Exchange Commission over charges that they violated rules protecting ...

DAVYDENKO, Vladimir A. ANDRIANOVA, Elena V. and KHUDYAKOVA, Marina V. 2020. CONTEMPORARY WORLD CONTEXTS OF RURAL SOCIOLOGY IN THE RUSSIAN RURAL LIFE REALITIES. Tyumen ...

Federal bills to impose such rules have indeed been introduced, but they have failed. That has not slowed the Securities and Exchange Commission or the State of California, however. The one is ...

You can’t put any language in an agreement that would prevent a client from reporting a broker-dealer’s actions," says one attorney.

SEC fines Nationwide Planning, affiliates combined $240K over impeding whistleblowers By Aaron Nicodemus 2024-09-05T18:19:00 Broker-dealer Nationwide Planning Associates and two affiliated investment ...

under the Securities Exchange Act of 1934, a whistleblower protection rule that prohibits taking any action to impede an individual from communicating directly with SEC staff about possible ...

under the Securities Exchange Act of 1934, a whistleblower protection rule that prohibits taking any action to impede an individual from communicating directly with SEC staff about possible securities ...

Whistleblowers have told Sen. Josh Hawley, R-Mo., that Secret Service personnel are "woefully unprepared" and given inadequate training to properly protect candidates – including former ...