Search for: "In Re Securities and Exchange Commission"
Results 2041 - 2060
of 2,834
Sort by Relevance
|
Sort by Date
20 Dec 2011, 1:47 pm
At the end of 2007, more than 75 percent of his commissions were coming from these sales. [read post]
20 Dec 2011, 11:49 am
See In re Vivendi Universal Securities Litigation, (SDNY 2011).The Chamber also observed that courts have correctly concluded that when a plaintiff purchases the securities issued by a defendant on a U.S. exchange, a Section 10(b) remedy is available against the issuer for fraudulent conduct. [read post]
20 Dec 2011, 10:25 am
Securities and Exchange Commission. [read post]
17 Dec 2011, 6:36 am
The body of rules and principles that make up the law of evidence has evolved toward securing fairness, eliminating undue expense and delay, and ascertaining the truth. [read post]
16 Dec 2011, 9:10 am
Relying principally on the First Circuit’s decision in In re TJX Cos. [read post]
15 Dec 2011, 7:33 am
At the time, vast swaths of the amendment were redacted — replaced, in the electronic version, with little bracketed asterisks that, a footnote informs us, “Indicates that certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. [read post]
14 Dec 2011, 4:46 pm
This last rests on the entirely laudable assumption that democracy is best served by the free exchange of ideas, for which freedom of expression is vital. [read post]
7 Dec 2011, 2:46 pm
We’re idealistic, but also pragmatic. [read post]
6 Dec 2011, 6:00 pm
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
5 Dec 2011, 12:53 pm
Sections 15(b)(4)(E) and 15(b)(6)(A) of the Exchange Act authorize the Securities and Exchange Commission, or SEC, andnbsp;to sanction a firm or any person who fails to reasonably supervise someone subject to the supervision of that firm who violates federal securities laws. [read post]
5 Dec 2011, 8:14 am
The Securities and Exchange Commission (SEC) has implemented a new program -- called the Aberrational Performance Inquiry (API) -- that has resulted in enforcement proceedings against three hedge funds for overstating material aspects of their business. [read post]
4 Dec 2011, 5:45 am
Additional Resources If you’re looking for even more guidance on plain English and drafting risk factor disclosure you can find it in the plain English rule’s adopting release, the Commission’s ever useful Plain English Handbook and Updated Staff Legal Bulletin No. 7A. [read post]
29 Nov 2011, 9:00 pm
Tags: Securities and Exchange Commission, Senate, U.S. [read post]
29 Nov 2011, 7:57 am
And under our operating principle that there are very few accidents in Securities and Exchange Commission filings, we called our subscribers’ attention to them. [read post]
29 Nov 2011, 7:50 am
Even the Securities and Exchange Commission is asking questions, including the big one: Are these numbers for real? [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
27 Nov 2011, 11:50 pm
” The complaint neglects to mention that this entrant was able to secure supplies from other sources and later sold itself to an established out-of-state distributor. [read post]
23 Nov 2011, 7:26 am
Public companies are required to make copious disclosures to the Securities and Exchange Commission, including audited financials that are reviewed by the S.E.C. [read post]
21 Nov 2011, 8:47 am
Securities and Exchange Commission. [read post]
21 Nov 2011, 2:00 am
The Securities and Exchange Commission (the “SEC”), in a broad ranging Concept Release issued in July 2010, acknowledged that its staff is in the process of reviewing current disclosure requirements relating to holdings of financial instruments, including short sale positions and derivatives positions often utilized by activist investors to magnify their economic return. [read post]
