Search for: "In Re Securities and Exchange Commission"
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30 Aug 2024, 7:49 am
Federal Trade Commission v. [read post]
29 Jul 2007, 8:14 pm
' " That's a question that lawmakers, the Securities and Exchange Commission and corporations are still trying to answer. [read post]
15 Jun 2010, 5:58 pm
Pittman, re-published on Ethics.org, explained how Sarbanes-Oxley broadly expanded the scope of unacceptable corporate behavior under securities laws: Of the five elements of the Commission's code, the only one that is specific to public companies relates to accuracy and timeliness of disclosure in public filings and other public communications. [read post]
15 Aug 2019, 11:24 pm
IN RE GREER-ALLEN, Bankr. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
19 Sep 2024, 9:05 pm
Securities and Exchange Commission (SEC) adopted amended rules allowing exchanges to quote stocks at half-penny increments, lowering the previous one-penny minimum for certain stocks. [read post]
14 Nov 2017, 2:27 am
Over the last four months the Law Commission of England and Wales has been consulting on the topic of Making a Will, focusing on testamentary capacity and formalities. [read post]
14 Nov 2017, 2:27 am
Over the last four months the Law Commission of England and Wales has been consulting on the topic of Making a Will, focusing on testamentary capacity and formalities. [read post]
5 Apr 2016, 12:31 pm
” Yesterday, the crisis unfolding in the Nagorno-Karabakh region in Azerbaijan deepened as Armenian fighters exchanged fire with troops from Azerbaijan. [read post]
21 Dec 2011, 5:17 am
Securities and Exchange Commission said in a complaint filed on Tuesday in federal court in California that the company, known as Heart Tronics, installed both Gault and a former Hollywood executive named J. [read post]
4 May 2021, 6:13 am
SECURITY AND TRUSTS/AGENCY Since the introduction of a legal regime creating a security agent in 2017, a security agent can be appointed for the purpose of taking, registering, managing and enforcing security it holds in its name for the benefit of the creditors. [read post]
5 Mar 2020, 1:49 pm
Securities and Exchange Commission (SEC) announced that actor and famed martial artist Steven Seagal pumped up an initial coin offering (ICO) without telling investors he was getting paid a promotional fee to do so. [read post]
11 Dec 2015, 1:21 pm
A few more brief exchanges and Ruiz too is done. [read post]
13 Aug 2008, 1:00 pm
It may also become the basis for regulatory agency actions such as securities market regulators and trade or consumer commissions like the Securities and Exchange Commission, the Federal Trade Commission, or state consumer protection agencies in the United States. [read post]
13 Feb 2020, 1:51 pm
Also, the US Securities and Exchange Commission (SEC) lawsuits hovered near-record high, as well. [read post]
14 Mar 2010, 6:06 pm
A second point we would make: Once Congress decided that class action securities lawsuits were not the best way to enforce shareholders’ interests (not to mention honest business dealings), it became incumbent on the Securities and Exchange Commission to be ever-more vigilant against fraud. [read post]
5 Jan 2018, 5:35 am
Its March 4, 2016 Securities and Exchange Commission 8-K on Data Security Incident (Breach 8-K) states 21CO delayed notification at the request of the FBI to avoid interfering in the criminal investigation of the breach. [read post]
12 May 2017, 6:15 am
There is nothing illegal about giving these donations to a politician, said Jessica Levinson, president of the Los Angeles Ethics Commission. [read post]
17 Sep 2013, 1:54 pm
Nor do I see any basis for concluding that signing it provided him with any increased security of employment, either expressly or implicitly. [read post]
21 Oct 2021, 9:03 pm
Securities and Exchange Commission (SEC) could address the harm resulting from the lack of regulation in digital asset markets. [read post]
