Search for: "In Re Securities and Exchange Commission"
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24 Feb 2012, 11:10 am
Securities and Exchange Commission chief litigation counsel Matthew Martens defended the agency's prowess in court - as well as its willingness to enter into what he termed "appropriate" settlements. [read post]
24 Feb 2012, 7:00 am
The Commission has also sued Levan for direct violations of Section 13(b)(5) of the Exchange Act. [read post]
24 Feb 2012, 4:32 am
The SEC Knows But Isn’t Telling by Francine McKenna in re: The Auditors Section 10A of the Securities and Exchange Act of 1934 requires reporting by auditors to the Securities and Exchange Commission (SEC) when, during the course of a financial audit, an auditor detects likely illegal acts that have a material impact on the financial statements and appropriate remedial action is not being taken by management or the board of… [read post]
21 Feb 2012, 2:00 am
Last week, a group of 14 pension funds and fund sponsors wrote this letter to the Securities and Exchange Commission. [read post]
17 Feb 2012, 9:47 am
If you think they're going away anytime soon, think again. [read post]
16 Feb 2012, 1:36 pm
Congress, after all, controls the budget of the Securities and Exchange Commission. [read post]
14 Feb 2012, 2:33 pm
In addition to creating the CFPB and the FIO, Dodd-Frank directed the Securities and Exchange Commission (SEC) to study the need for a new, uniform, federal fiduciary standard of care for broker-dealers and investment advisers and to apply such a uniform standard if it deemed necessary. [read post]
14 Feb 2012, 11:28 am
Goldman alone met with the Securities Exchange Commission six times within three months to discuss its opposition to the rule. [read post]
14 Feb 2012, 4:58 am
It is time once again for the Securities and Exchange Commission to sing for its supper. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
13 Feb 2012, 4:06 am
, FINRA, NYSE, Nasdaq, etc.), but can also be influenced by the Securities and Exchange Commission, which oversees the SROs and can require that they adopt rules related to discretionary voting, and by Congress through the legislative process. [read post]
10 Feb 2012, 1:25 pm
Also, the embedded pre-payment option associated with mortgage-backed securities creates re-investment risk, which can significantly affect yield. [read post]
2 Feb 2012, 9:05 am
Western Union, in a no-action request filed with the Securities and Exchange Commission, has said it plans to offer a management bylaw proposal at its next annual meeting that would allow investor groups who hold a 5 percent stake for three years to nominate board candidates. [read post]
2 Feb 2012, 7:48 am
The breaches were disclosed in vague language in a Securities and Exchange Commission filing last October in accordance with new SEC guidelines requiring companies to report intrusions to investors, according to Reuters. [read post]
2 Feb 2012, 7:12 am
As it turned out, that executive faced insider trading allegations by the Securities and Exchange Commission a few months later, which she settled without admitting or denying anything. [read post]
2 Feb 2012, 7:07 am
If you’re planning to file bankruptcy and have received a garnishment summons, you should file as soon as possible. [read post]
1 Feb 2012, 9:07 am
Securities and Exchange Commission was also involved in the probe, said another person familiar with the case, who added that fewer than five people will be charged. [read post]
31 Jan 2012, 6:40 pm
If you’re planning to file bankruptcy and have received a garnishment summons, you should file as soon as possible. [read post]
25 Jan 2012, 11:17 am
Securities and Exchange Commission, will serve as leaders of the mortgage working group. [read post]
