Based on Bluefin’s net long position, it should have tendered only 4,103,463 Lockheed shares
The Commission is adopting a recordkeeping program for SBSDs and MSBSPs
Jefferies was responsible for supervising its securities lending desk personnel .... failed reasonably to fulfill such supervisory responsibilities
"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
The SEC announced Nov. 4 that it will extend its no-action letter for firms trying to comply with the European Union’s Markets in Financial Instruments Directive ...
The SEC proposes revising a rule that governs the publication of securities' quotations
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
If Migliorato had taken reasonable steps to follow-up with respect to the handling of ICBCFS’s pre-release transactions by securities lending desk personnel, it is likely ...