Search for: "In Re Securities and Exchange Commission"
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15 Sep 2015, 10:01 pm
Securities and Exchange Commission (SEC) and accuses Tyson Foods of overstating in corporate and investor materials the priority it puts on animal welfare. [read post]
12 Jul 2010, 12:35 pm
(For example, in exchange for signing a contract with a given gauze maker, a GPO might get a percentage of whatever the company made selling gauze to members.) [read post]
4 Jan 2022, 8:18 pm
The federal Securities and Exchange Commission (SEC) settled fraud charges against Theranos and Holmes in 2018, reports Reuters. [read post]
12 Aug 2022, 3:30 am
The Company attempted to file a Current Report on Form 8-K by the end of the day on July 14, 2022 to correct the First Incorrect 8-K, but this attempted Securities and Exchange Commission (“SEC”) filing was blocked by certain members of the Farnsworth Group, even though Mr. [read post]
18 Jun 2024, 6:52 am
Securities and Exchange Commission and other matters. [read post]
19 Jul 2010, 2:54 pm
There are mandatory rules that apply to public companies (or companies with registered debt) that are in the Sarbanes-Oxley Act of 2002 and rules written by the Securities and Exchange Commission to implement the Act. [read post]
10 Nov 2006, 2:52 pm
Securities and Exchange Commission (SEC), as of October 9, 2006 the drug company had been named in about 23,800 Vioxx lawsuits which involved approximately 41,750 individuals. [read post]
26 Jul 2010, 5:55 am
First came the company’s Freedom of Information Act lawsuit against the Environmental Protection Agency — not something that usually rises to the level of disclosure in a Securities and Exchange Commission filing (though we understand that companies are the biggest users of the act, despite the attention given to news-media FOIA lawsuits). [read post]
19 Mar 2010, 8:00 am
For more on the entire system of beneficial ownership and the role of the depositories, see The Shareholder Communication Rules and the Securities and Exchange Commission: An Exercise in Regulatory Utility or Futility? [read post]
27 Jul 2017, 3:00 am
Here’s an excerpt from the WSJ article: American Airlines Group removed certain “descriptive language” from its financials at the behest of the Securities and Exchange Commission, according to recently released correspondence. [read post]
1 Aug 2017, 7:55 am
And why did MetaboRX list as its general character of business “serving food; restaurant” on its filing with the Massachusetts Secretary of the Commonwealth The Securities and Exchange Commission also wants to know. [read post]
22 Nov 2017, 4:04 pm
However, the Securities and Exchange Commission’s website offers a glimpse into standard contract language, through posted agreements between companies and executives. [read post]
10 Mar 2017, 4:25 am
Heller, would credit stock exchanges for any fees they may have overpaid the Securities and Exchange Commission. [read post]
20 Nov 2010, 3:53 am
They’re not bad guys. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
11 Aug 2023, 12:49 pm
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]
15 Aug 2014, 11:21 am
John Kirby announced, “We’re very committed to that region. [read post]
27 Aug 2020, 12:23 pm
During the re-investigation, Dr. [read post]
25 Jul 2019, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data. [read post]
31 Oct 2019, 3:59 am
Switzerland retaliated in July 2019 by banning the trading of Swiss equities on EU exchanges. [read post]
