|
Wells Notice
A Wells notice is a letter that the U.S. Securities and Exchange Commission (SEC) sends to people or firms at the conclusion of an SEC investigation that states the SEC is planning to bring an enforcement action against them. The notice informs the people or the firm in question that the SEC has concluded that they should be charged with violation of the securities laws.Betman, Ronald S. (March 1, 2016)"Trends in SEC Enforcement: What CPAs Need to Know" ''The CPA Journal''. The notice indicates that the SEC staff has determined it may bring a civil action against a person or firm, and provides the person or firm with the opportunity to provide information as to why the enforcement action should not be brought.US Securities and Exchange Commission (October 22, 2014)"Investor Bulletin: SEC Investigations" SEC.Gov. The person or firm is generally given 30 days to file this response in the form of a legal brief considering legal and factual arguments as to why no charges should be bro ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Laws
Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the stability and integrity of the financial system. This may be handled by either a government or non-government organization. Financial regulation has also influenced the structure of banking sectors by increasing the variety of financial products available. Financial regulation forms one of three legal categories which constitutes the content of financial law, the other two being market practices and case law. History In the early modern period, the Dutch were the pioneers in financial regulation. The first recorded ban (regulation) on short selling was enacted by the Dutch authorities as early as 1610. Aims of regulation The objectives of financial regulators are usually: * market confidence – to maintain confidence in the financial system * financial stability – contributing to the protection and ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Civil Action
- A lawsuit is a proceeding by a party or parties against another in the civil court of law. The archaic term "suit in law" is found in only a small number of laws still in effect today. The term "lawsuit" is used in reference to a civil action brought by a plaintiff (a party who claims to have incurred loss as a result of a defendant's actions) requests a legal remedy or equitable remedy from a court. The defendant is required to respond to the plaintiff's complaint. If the plaintiff is successful, judgment is in the plaintiff's favor, and a variety of court orders may be issued to enforce a right, award damages, or impose a temporary or permanent injunction to prevent an act or compel an act. A declaratory judgment may be issued to prevent future legal disputes. A lawsuit may involve dispute resolution of private law issues between individuals, business entities or non-profit organizations. A lawsuit may also enable the state to be treated as if it were a private party ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC). Overview The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. In December 2019, FINRA oversaw 3,517 brokerage firms, 153,907 branch offices and approximately 624,674 registered securities representatives. FINRA has appr ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
The Wall Street Journal
''The Wall Street Journal'' is an American business-focused, international daily newspaper based in New York City, with international editions also available in Chinese and Japanese. The ''Journal'', along with its Asian editions, is published six days a week by Dow Jones & Company, a division of News Corp. The newspaper is published in the broadsheet format and online. The ''Journal'' has been printed continuously since its inception on July 8, 1889, by Charles Dow, Edward Jones, and Charles Bergstresser. The ''Journal'' is regarded as a newspaper of record, particularly in terms of business and financial news. The newspaper has won 38 Pulitzer Prizes, the most recent in 2019. ''The Wall Street Journal'' is one of the largest newspapers in the United States by circulation, with a circulation of about 2.834million copies (including nearly 1,829,000 digital sales) compared with ''USA Today''s 1.7million. The ''Journal'' publishes the luxury news and lifestyle magazine ' ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
John A
Sir John Alexander Macdonald (January 10 or 11, 1815 – June 6, 1891) was the first prime minister of Canada, serving from 1867 to 1873 and from 1878 to 1891. The dominant figure of Canadian Confederation, he had a political career that spanned almost half a century. Macdonald was born in Scotland; when he was a boy his family immigrated to Kingston in the Province of Upper Canada (today in eastern Ontario). As a lawyer, he was involved in several high-profile cases and quickly became prominent in Kingston, which elected him in 1844 to the legislature of the Province of Canada. By 1857, he had become premier under the colony's unstable political system. In 1864, when no party proved capable of governing for long, Macdonald agreed to a proposal from his political rival, George Brown, that the parties unite in a Great Coalition to seek federation and political reform. Macdonald was the leading figure in the subsequent discussions and conferences, which resulted in the Brit ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Manuel F , a common nickname for those named Manuel
{{disambiguation ...
Manuel may refer to: People * Manuel (name) * Manuel (Fawlty Towers), a fictional character from the sitcom ''Fawlty Towers'' * Charlie Manuel, manager of the Philadelphia Phillies * Manuel I Komnenos, emperor of the Byzantine Empire * Manuel I of Portugal, king of Portugal Places *Manuel, Valencia, a municipality in the province of Valencia, Spain *Manuel Junction, railway station near Falkirk, Scotland Other * Manuel (American horse), a thoroughbred racehorse * Manuel (Australian horse), a thoroughbred racehorse *Manuel and The Music of The Mountains, a musical ensemble * ''Manuel'' (album), music album by Dalida, 1974 See also *Manny Manny is a common nickname for people with the given name Manuel, Emanuele, Immanuel, Emmanuel, Herman, or Manfred. People * Manny Acosta (born 1981), Panamanian pitcher in the Mexican Baseball League * Manny Acta (born 1969), Dominican Maj ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Ralph Demmler
Ralph H. Demmler (August 22, 1904 December 23, 1995) was an American lawyer specializing in corporate banking law and chairman of the U.S. Securities and Exchange Commission from June 1953 to May 1955. Early life and education He graduated from Allegheny College, where he was a member of the Phi Beta Kappa Society. Demmler earned his law degree at the University of Pittsburgh. Career He began his law practice in Pittsburgh in 1928. In 1943, Demmler joined the law firm Reed Smith Shaw & McClay and was elected a partner in 1948. A member of the Republican Party, he served as chairman of the U.S. Securities and Exchange Commission (SEC) between June 1953 and 1955. Demmler had been appointed a member of the commission just earlier.Social Security Death Index. From 1969 until 1980, he was an adviser on an American Law Institute project to codify federal securities laws. In 1972, the SEC appointed Demmler to its Special Committee on Enforcement Policy. Corporate direct ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
1972 Establishments In The United States
Year 197 ( CXCVII) was a common year starting on Saturday (link will display the full calendar) of the Julian calendar. At the time, it was known as the Year of the Consulship of Magius and Rufinus (or, less frequently, year 950 ''Ab urbe condita''). The denomination 197 for this year has been used since the early medieval period, when the Anno Domini calendar era became the prevalent method in Europe for naming years. Events By place Roman Empire * February 19 – Battle of Lugdunum: Emperor Septimius Severus defeats the self-proclaimed emperor Clodius Albinus at Lugdunum (modern Lyon). Albinus commits suicide; legionaries sack the town. * Septimius Severus returns to Rome and has about 30 of Albinus's supporters in the Senate executed. After his victory he declares himself the adopted son of the late Marcus Aurelius. * Septimius Severus forms new naval units, manning all the triremes in Italy with heavily armed troops for war in the East. His soldiers embark on an ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
1972 Introductions
Year 197 ( CXCVII) was a common year starting on Saturday (link will display the full calendar) of the Julian calendar. At the time, it was known as the Year of the Consulship of Magius and Rufinus (or, less frequently, year 950 '' Ab urbe condita''). The denomination 197 for this year has been used since the early medieval period, when the Anno Domini calendar era became the prevalent method in Europe for naming years. Events By place Roman Empire * February 19 – Battle of Lugdunum: Emperor Septimius Severus defeats the self-proclaimed emperor Clodius Albinus at Lugdunum (modern Lyon). Albinus commits suicide; legionaries sack the town. * Septimius Severus returns to Rome and has about 30 of Albinus's supporters in the Senate executed. After his victory he declares himself the adopted son of the late Marcus Aurelius. * Septimius Severus forms new naval units, manning all the triremes in Italy with heavily armed troops for war in the East. His soldiers embark ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
