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20 Jan 2015, 6:56 am
Virgin Islands as opposed to customary $1 million in other areas. [read post]
12 Oct 2017, 7:51 am
Whistleblower awards can range from 10 percent to 30 percent of the money collected when the monetary sanctions exceed $1 million. [read post]
2 Apr 2020, 7:23 am
However, the FCA has no intention of taking enforcement action where a firm: (i) does not publish RTS 27 reports by 1 April 2020, provided it is published no later than 30 June 2020; and (ii) does not publish RTS 28 and Article 65(6) MiFID II reports, provided they are published by 30 June 2020; supervisory flexibility over 10% depreciation notifications until the end of September 2020. [read post]
27 Apr 2016, 8:04 am
The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like Form 10-K. [read post]
9 Oct 2013, 8:53 am
On October 1, 2013, the Securities and Exchange Commission announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. [read post]
3 Mar 2017, 3:00 am
However, that fraction does add up over time. [read post]
9 Jun 2017, 7:53 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
6 Dec 2017, 5:17 pm
Indeed, the complaint does not identify anything that supposedly motivated the defendants to mislead investors. [read post]
9 Feb 2010, 4:21 am
Next - how long does it take until trading begins? [read post]
4 Jan 2010, 10:15 am
” See “Firms Fight Banks Over Billions in Frozen Notes,” WSJ 1/2/10. [read post]
9 Jun 2016, 9:37 am
– UMT does not expect to report any net income for 2016. [read post]
8 Jun 2017, 11:56 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
20 Nov 2015, 5:00 am
The aggregate offering amount from all cash and consideration received for sales except for sales made to accredited or institutional investors may not exceed $1 million. [read post]
30 Jun 2023, 6:11 pm
The ICSID Convention does not explicitly exclude SCEs from the scope of its jurisdiction ratione personae. [read post]
4 Sep 2015, 6:00 am
Answer #10 No. [read post]
1 Apr 2016, 6:00 am
Answer #10 No. [read post]
1 Jun 2012, 5:40 am
A shareholder of a public company in Canada does not need to make public disclosure of its shareholdings unless it owns (together with any joint actors) 10% or more of the company. [read post]
20 May 2016, 9:59 am
Whistleblower awards can range from 10 percent to 30 percent of the money collected when the monetary sanctions exceed $1 million. [read post]
25 Nov 2019, 2:01 pm
A whistleblower award can range from 10 to 30 percent of the money collected when the sanction is $1 million or more. [read post]
26 Mar 2019, 7:59 am
Whistleblower awards can range from 10 percent to 30 percent of the money collected when the monetary sanctions exceed $1 million.The SEC protects the confidentiality of whistleblowers and does not disclose information that could reveal a whistleblower’s identity as required by the Dodd-Frank Act.For more information about the whistleblower program and how to report a tip, visit www.sec.gov/whistleblower.SEC Press Release--- If you believe need help with a… [read post]
