Search for: "In Re Securities and Exchange Commission"
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28 Mar 2012, 1:25 am
The Securities and Exchange Commission is investigating the company. [read post]
27 Mar 2012, 8:12 am
There’s a pool of loans that we’re looking to buy for our new trust… the DOER Trust 2012, which will end up being an RMBS, or Residential Mortgage-backed Security. [read post]
26 Mar 2012, 1:00 pm
" Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that the Securities and Exchange Commission (SEC) prepare a report considering whether there should be an SRO for investment advisers, as there is for broker-dealers. [read post]
26 Mar 2012, 5:00 am
My analysis of when fund managers need to register with the Securities and Exchange Commission has me focused on the composition of a company’s assets. [read post]
23 Mar 2012, 2:48 pm
In response, Solis said that her department has received comments from both the House and Senate as well as from additional stakeholders, and will coordinate with the Securities and Exchange Commission (SEC) in re-drafting the rule. [read post]
22 Mar 2012, 7:46 am
That’s using the standard compensation calculation required by the Securities and Exchange Commission. [read post]
21 Mar 2012, 9:55 am
Securities and Exchange Commission (“SEC”), and its stock is publicly traded on the New York Stock Exchange. [read post]
15 Mar 2012, 1:17 pm
According to a report this week in the Financial Times, the chief of the Securities Exchange Commission’s new Whistleblower Office, Sean McKessey, stated that the SEC has “received notes, audio recordings of conversations and simple recollections” of securities fraud and other wrongdoing since a new whistleblower reward program promising rewards for whistleblowers began last year. [read post]
15 Mar 2012, 11:40 am
Form 10-K Annual Report For the Fiscal Year Ended December 31, 2011, which was filed with the Securities and Exchange Commission on February 28, 2012: As of December 31, 2011, there were approximately 950 NuvaRing cases. [read post]
15 Mar 2012, 8:20 am
Since 2009, the Securities and Exchange Commission has filed 25 cases against mortgage originators and securities firms. [read post]
14 Mar 2012, 3:29 pm
Introduction FINRA Rule 6490 was approved by the Securities and Exchange Commission on July 1, 2010, with the stated purposes of adopting rules to prevent fraudulent and manipulative acts and practices, promote just and equitable principles of trade and protect investors and the public interest. [read post]
8 Mar 2012, 12:30 pm
Securities and Exchange Commission, spoke on a panel Thursday at Georgetown University Law Center’s annual Corporate Counsel Institute. [read post]
8 Mar 2012, 3:34 am
To that end, the Securities and Exchange Commission and the Justice Department are in the midst of a sweep of the industry. [read post]
5 Mar 2012, 2:08 am
Overstock.com faces an ongoing investigation by the Securities and Exchange Commission after it was discovered that the company violated various accounting rules to inflate earnings in past years. [read post]
2 Mar 2012, 3:26 pm
Chief Executive Lloyd Blankfein in the weeks before he gave testimony in a civil insider-trading case by the Securities and Exchange Commission against former Goldman director Rajat Gupta. [read post]
1 Mar 2012, 7:57 am
Yesterday marked the deadline for big companies operating on a calendar year to file their annual reports (Form 10-K filings) with the Securities and Exchange Commission. [read post]
28 Feb 2012, 2:00 am
Securities and Exchange Commission, on the sidelines of the Practising Law Institute’s annual SEC Speaks conference. [read post]
27 Feb 2012, 9:00 pm
Smith & Nephew paid a monetary penalty of $16.8MM to the DOJ and $5.4MM to the Securities and Exchange Commission (SEC) as a civil penalty, all for a total of $22.2MM in fines and penalties. [read post]
27 Feb 2012, 1:16 pm
FINRA’s comments on all the products in the letter can be found below: Residential Mortgage-Backed Securities and Commercial Mortgage-Backed Securities: Due to the embedded pre-payment option associated with mortgage-backed products, these securities carry significant re-investment risk, which can strongly affect the yield investors realize. [read post]
27 Feb 2012, 1:16 pm
FINRA’s comments on all the products in the letter can be found below: Residential Mortgage-Backed Securities and Commercial Mortgage-Backed Securities: Due to the embedded pre-payment option associated with mortgage-backed products, these securities carry significant re-investment risk, which can strongly affect the yield investors realize. [read post]
