Search for: "International Securities Exchange"
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30 Nov 2017, 9:00 am
But courts have struggled with whether Dodd-Frank provides that same protection, or if Dodd-Frank protects only individuals who report misconduct to the Securities and Exchange Commission (SEC) directly. [read post]
1 Dec 2017, 9:00 am
But courts have struggled with whether Dodd-Frank provides that same protection, or if Dodd-Frank protects only individuals who report misconduct to the Securities and Exchange Commission (SEC) directly. [read post]
23 Mar 2010, 1:18 pm
An internal review of the Securities and Exchange Commission's investigation of Allied Capital raises concerns about the agency's oversight of the financial industry. [read post]
5 Jun 2019, 11:24 am
On May 24, 2019, the Securities and Exchange Commission (“SEC”) announced it had awarded more than $4.5 million to a whistleblower whose internal tip caused a company to self-report the allegations and its internal investigation results to the SEC and another agency, leading to successful SEC and related enforcement actions. [read post]
10 Feb 2023, 11:29 am
Continue Reading › The post Western International Censured and Fined for non-traded REIT sales appeared first on Virginia Securities Fraud Blog. [read post]
19 Apr 2018, 12:00 am
Jan. 16, 2018), Endo International PLC (“Endo”) and its executive officers, Rajiv De Silva, Suketu Upadhyay, and Paul Campanelli (collectively “Defendants”), moved to dismiss the Third Amended Complaint of Craig Friedman, individually and on behalf of others similarly situated (collectively “Plaintiffs”), alleging violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule… [read post]
9 Aug 2021, 11:35 am
The Securities and Exchange Commission today announced an emergency action charging nine individuals, including a public company chairman, for their participation in long-running fraudulent schemes that collectively generated hundreds of millions of…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2006, 10:22 am
The Securities and Exchange Commission today proposed guidance to make it easier and less costly for companies to comply with internal-controls rules set forth by the Sarbanes-Oxley Act. [read post]
25 Feb 2010, 6:27 pm
This intermediary will be able to walk an individual through all of the special rules found in the Internal Revenue Code regarding 1031 Tax Free Exchanges. [read post]
24 Jun 2010, 10:14 am
The Court adopted a transactional test of whether the purchase or sale is made in the United States, or involves a security listed on a domestic exchange. [read post]
EUFams II – International Exchange Seminar at the Max Planck Institute Luxembourg for Procedural Law
21 Oct 2019, 8:47 am
The Program of the International Exchange Seminar is available here. [read post]
29 Mar 2021, 9:01 am
The Securities and Exchange Commission awarded more than $500,000 to a whistleblower who raised concerns internally before submitting a tip to the Commission. [read post]
13 Jun 2022, 6:05 am
The Securities and Exchange Commission today charged three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their…Read the Full Press ReleaseHave a securities law question? [read post]
22 Apr 2011, 10:11 am
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEWASHINGTON, DC – The Secretary General of the Organization of American States (OAS), José Miguel Insulza, and the President of the International Criminal Court (ICC), Sang-Hyun Song, today held an exchange of letters for the establishment of a Cooperation Agreement between the two institutions on issues of common interest, such as the promotion and dissemination of international criminal law and… [read post]
30 Sep 2008, 2:31 pm
., the insurance giant American International Group finally filed documents with the Securities and Exchange Commission setting forth the terms of its government loan and disclosing the interest that the government will have in it. [read post]
30 Nov 2010, 4:36 pm
Companies should also develop internal systems to secure the accuracy and promptness of disclosure.The principles of corporate governance also call for the appointment of highly independent outside auditors with an in-depth knowledge of finance and accounting. [read post]
18 Sep 2015, 6:33 am
It says that Wall Street whistleblowers cannot suffer retaliation if they report violations to the Securities and Exchange Commission. [read post]
9 Jul 2019, 6:26 am
Like-kind exchanges are regulated by Internal Revenue Service Code Section 1031, and sometimes they are referred to as Section 1031 exchanges. [read post]
25 Feb 2010, 3:36 am
The Securities and Exchange Commission Feb. 24 voted unanimously to issue a statement making clear its commitment to a single set of globally accepted accounting standards. [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
