Search for: "In Re Securities and Exchange Commission"
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14 Jun 2023, 8:40 am
In our last post, we reviewed the basics of special purpose acquisition companies (SPACs), also called “blank check companies,” to understand why the Securities and Exchange Commission is so concerned about SPACs. [read post]
10 Aug 2009, 7:02 am
The United States Securities and Exchange Commission (the "SEC") recently sued Maynard Jenkins, former chief executive officer of CSK Auto Corporation ("CSK"), to reimburse CSK and its stockholders for more than $4 million worth of bonuses and stock sales while CSK was allegedly committing accounting fraud. [read post]
28 Apr 2021, 1:01 pm
The bank then faced fraud charges by the Securities and Exchange Commission (SEC), which resulted in the bank paying $550 million to settle the charges, although Goldman refused to either admit or deny the charges. [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
19 Jun 2012, 2:00 am
In this recent post, I discussed a petition submitted by Professor Lucian Bebchuk and nine other academics asking that the Securities and Exchange Commission adopt rules requiring public companies to disclose to shareholders the use of corporate resources for political activities. [read post]
3 Feb 2011, 3:06 pm
ACCOUNTABILITY, LIKE TAXES, IS FOR THE LITTLE PEOPLE: SEC CAN’T PASS AUDIT: If a company’s financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
28 Feb 2018, 10:00 am
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
21 Mar 2007, 2:51 am
., --- F.3d ----, 2007 WL 816518 (Mar. 19, 2007):Section 10(b) [of the Securities Exchange Act] does not give rise to aiding and abetting liability. [read post]
15 Nov 2022, 6:30 am
Introduction and Background On October 26, 2022, the Securities and Exchange Commission (SEC) adopted the final rule requiring that all listed companies adopt and disclose a clawback policy as required under Dodd-Frank. [read post]
15 Nov 2022, 6:30 am
Introduction and Background On October 26, 2022, the Securities and Exchange Commission (SEC) adopted the final rule requiring that all listed companies adopt and disclose a clawback policy as required under Dodd-Frank. [read post]
9 Aug 2010, 11:49 am
But the Securities and Exchange Commission is expecting a big increase in tips from senior employees and third parties because of whistleblowing incentives in the new law that can reach seven-figures, as reported by CNBC in an August 9, 2010 article entitled “Wall Street Rewards to Trigger a Surge in Informants. [read post]
16 Aug 2016, 8:15 am
The Securities and Exchange Commission today announced that the former head trader in residential mortgage-backed securities (RMBS) at Goldman Sachs has agreed to be barred from the securities industry and pay $400,000 to settle charges that he repeatedly misled customers and caused them to pay higher prices. [read post]
30 Jan 2013, 12:20 pm
When the “indubitably equivalent” asset is real estate (a so-called dirt-for-debt exchange), the problems compound. [read post]
30 Jan 2013, 12:20 pm
When the “indubitably equivalent” asset is real estate (a so-called dirt-for-debt exchange), the problems compound. [read post]
15 Mar 2018, 7:16 am
The National Securities Markets Improvement Act of 1996 re-allocated and clarified the division of duties between federal and state securities regulators, including by defining the term “covered securities. [read post]
5 Oct 2011, 1:45 pm
It's been more than 14 months since the signing of the Dodd-Frank Act, which directed the Securities and Exchange Commission to establish a new Investor Advisory Committee.So far, the SEC has not publicly announced a timetable for creating this panel, and Commissioner Luis Aguilar and some investors are asking why. [read post]
25 Jan 2021, 10:59 am
The Commission and EU Member States will promote the exchange of health data through improved interoperability between relevant IT systems and infrastructure and ensuring that health data is “FAIR”—findable, accessible, interoperable and reusable. [read post]
23 May 2022, 8:42 am
The Securities and Exchange Commission (SEC) understands that some whistleblowers may have participated in the wrongdoing at issue. [read post]
8 Nov 2011, 3:07 pm
In any event, here is the full exchange: GRAHAM: Thank you Mr. [read post]
18 May 2022, 2:12 pm
If you’re aware of a SPAC that is defrauding investors, you may be wondering if you should go to the Securities and Exchange Commission (SEC) and become a whistleblower. [read post]
