Tag: Securities Exchange Act

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SEC Adopts Expanded Exchange Act Dealer Rules: What Do the New SEC Rules Mean for DeFi?

Added to Collection on: 2024-03-20 17:39:35

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Financial markets
Decentralized finance
U.S. Securities and Exchange Commission
Cryptocurrency
Security
Securities Exchange Act
Securities market
Dark pool
Gary Gensler
Alternative trading system
United States Securities Regulation
Bid?ask spread
Mark T. Uyeda
Hester M. Peirce

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SEC Sanctions Morgan Stanley for Leaking Non-Public Information

Added to Collection on: 2024-04-08 17:28:45

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Financial markets
Stock market
Financial crimes
Front running
Morgan Stanley
Insider trading
Block trade
Securities Exchange Act
Investment banking
Algorithmic trading
Penny stock
Securities market

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Portman Ridge Finance Corporation Establishes 10b5-1 Stock Trading Plan

Added to Collection on: 2024-04-16 13:29:34

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Stock market
Share repurchase
SEC Rule 10b5-1
SEC Rule 10b-5
Equity
Investment Company Act
NASDAQ
Securities Exchange Act
Form 10-K
SEC filing
U.S. Securities and Exchange Commission
Ridge Finance Corporation
Portman Ridge Finance Corporation

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Tilray Brands Lights Up 420 With Music Festivals and Celebrations Across The Country - Leduc Rep

Added to Collection on: 2024-04-17 17:44:01

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73rd United States Congress
U.S. Securities and Exchange Commission
SEC filings
Communication
Forward-looking statement
United States corporate law
Form 10-K
Materiality
Securities Act
United States Securities Regulation
Securities Exchange Act

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United States: SEC Secures Groundbreaking Win In Shadow Trading Insider Trading Case

Added to Collection on: 2024-04-28 23:09:05

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Stock market
Corruption
Information
Insider trading
Knowledge economy
Medivation
SEC Rule 10b-5
U.S. Securities and Exchange Commission
Securities Exchange Act
Matthew Panuwat

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DEADLINE TODAY: The Schall Law Firm Encourages Investors in Nextdoor Holdings, Inc ...

Added to Collection on: 2024-04-29 15:16:59

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Nextdoor
Intercontinental Exchange
Khosla Ventures
Securities Exchange Act
SEC Rule 10b-5
New York Stock Exchange
U.S. Securities and Exchange Commission
khosla ventures acquisition co. ii

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Lixte Biotechnology : Investor Presentation - April 2024 - MarketScreener

Added to Collection on: 2024-04-30 19:08:04

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SEC filings
73rd United States Congress
U.S. Securities and Exchange Commission
Communication
Forward-looking statement
Securities Act
Securities Exchange Act
Form 10-K

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Kraken Asks Court To Dismiss SEC Claims Alleging the Crypto Exchange Operated As ...

Added to Collection on: 2024-05-11 18:51:07

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Kraken
U.S. Securities and Exchange Commission
Cryptocurrency
SEC v. W. J. Howey Co.
Security
Financial adviser
Securities Exchange Act

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Know Labs Appoints Chris Somogyi as President, International | BioSpace

Added to Collection on: 2024-05-16 19:58:20

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SEC filings
Know Labs
Forward-looking statement
Ron Erickson
Form 10-K
Continuous glucose monitor
Blood glucose monitoring
U.S. Securities and Exchange Commission
Securities Exchange Act
Intellectual property
Stock exchange
Xerox
Chris Somogyi
Know Labs Inc.

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Tilray Brands Announces At-The-Market Program to Fund Strategic and Accretive ... - Morningstar

Added to Collection on: 2024-05-17 11:56:54

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73rd United States Congress
U.S. Securities and Exchange Commission
SEC filings
Stock market
Initial public offering
Prospectus
Tilray
Securities Act
Forward-looking statement
Securities Exchange Act
United States Securities Regulation
Form 10-K
Tilray Brands Inc.

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