Search for: "In Re Securities and Exchange Commission"
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8 Apr 2010, 3:40 am
InterOil filed a false Form D with the Securities and Exchange Commission claiming it was paying no sales commissions or finder's fees in connection with the offering, when, in fact, the company previously agreed to pay such commissions and fees. [read post]
17 Jul 2007, 5:10 am
Capping this period was the October 27, 1986 "Big Bang" deregulating fixed commissions and allowing foreign companies into the Exchange. [read post]
26 May 2022, 9:01 pm
” The Securities and Exchange Commission (SEC) proposed a rule to standardize disclosures about cybersecurity by public companies. [read post]
23 Feb 2018, 4:07 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
30 Sep 2010, 5:58 am
Chamber of Commerce and the Business Roundtable filed suit against the Securities and Exchange Commission on Wednesday, objecting to new proxy access rules for nominating corporate directors. [read post]
2 Jun 2010, 7:06 am
The board, which the Securities and Exchange Commission would establish and oversee, would handle “structured deals”—bonds backed by income streams from assets such as mortgages, auto loans and credit-card payments. [read post]
1 May 2020, 6:02 am
Securities and Exchange Commission, on Wednesday, April 29, 2020 Tags: Accounting, Accounting standards, Audits, China, Disclosure, Emerging markets, Financial reporting, International governance, Investor protection, Risk, Securities enforcement, Securities regulation Stakeholder Principles in the COVID Era Posted by Klaus Schwab, Brian Moynihan, Feike Sijbesma and Jim Snabe, World… [read post]
5 May 2022, 9:08 pm
Securities and Exchange Commission’s (SEC) traditional test for determining whether a transaction qualifies as a security—the Howey test—is problematic for cryptocurrencies. [read post]
6 Jun 2024, 9:05 pm
Biden vetoed a resolution to preserve a Securities and Exchange Commission (SEC) rule requiring institutions to record digital assets as liabilities on their balance sheets. [read post]
9 May 2024, 10:35 pm
Securities Exchange Commission received when they tried to regulate cryptocurrencies after years of letting the industry grow unchecked. [read post]
2 Aug 2023, 11:54 am
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
3 May 2019, 1:00 pm
Since the Nixon administration, the Securities and Exchange Commission has refused to settle civil or administrative enforcement actions unless defendants agree to lifetime gag orders preventing them from criticizing the SEC. [read post]
21 Mar 2018, 4:38 am
The [Securities and Exchange Commission] might also propose its own fiduciary rule during that period. [read post]
21 Mar 2018, 4:38 am
The [Securities and Exchange Commission] might also propose its own fiduciary rule during that period. [read post]
9 May 2010, 12:16 pm
The Securities and Exchange Commission is investigating Overstock.com and its CEO Patrick Byrne for securities law violations (Details here, and here). [read post]
28 Jun 2007, 1:18 am
Securities and Exchange Commission amendment to the tender-offer "best-price rules" -- which require all security holders to receive the highest consideration paid to any security holder -- has catalyzed a surge in tender-offer acquisitions. [read post]
7 Dec 2011, 2:46 pm
We’re idealistic, but also pragmatic. [read post]
20 Dec 2006, 2:10 pm
Welch, who heads up the Wilmington office of Skadden, Arps, Slate, Meagher and Flom LLP The Issuance And Trading Of Securities: The Changing Regulatory Framework In America, courtesy of Roberta Karmel, who was the first woman to serve as a Commissioner on the Securities and Exchange Commission Sarbanes-Oxley: What You Need To Know, from Marni Lerner, a partner at Simpson, Thacher and Bartlett, and Open… [read post]
24 Apr 2020, 6:14 am
State-of-the-art cryptographic techniques must be implemented to secure the data stored in servers and applications, exchanges between applications and the remote server. [read post]
19 May 2021, 3:00 am
The emerging civil case centers on Executive Chairman Jim Continenza’s June 23, 2020, purchase of nearly 47,000 Kodak shares, Kodak said in a quarterly Securities and Exchange Commission filing on Monday. [read post]
