Search for: "In Re Securities and Exchange Commission"
Results 2061 - 2080
of 2,834
Sort by Relevance
|
Sort by Date
17 Nov 2011, 5:27 am
The Securities and Exchange Commission (SEC) has begun scrutinizing registration documents submitted by investment advisers to uncover misrepresentations they have made regarding their education, assets under management and other aspects of their firm. [read post]
16 Nov 2011, 8:22 am
Jenkins and the Staff of the Securities and Exchange Commission have reached a tentative settlement agreement to resolve this matter," noting that "such tentative settlement agreement is subject to approval by the Securities and Exchange Commissioners. [read post]
10 Nov 2011, 8:01 am
We’ve observed before that the lawyers drafting Securities and Exchange Commission filings can be a little slow to adopt the latest trends, or adapt to the latest cultural developments — see our January post on Wikileaks in the filings, for example, or Michelle’s look at “double-dip” fears in September last year. [read post]
9 Nov 2011, 10:08 am
Rakoff is well-known for speaking bluntly, giving the Securities and Exchange Commission heartburn, and a willingness to issue bold legal rulings, such as when he briefly overturned the death penalty in a decision that was later reversed. [read post]
9 Nov 2011, 8:09 am
Moreover, security internees held pursuant to GC4 detention grounds can only be held so long as they constitute a security risk, not “until the end of hostilities” as Section 1031 suggests. [read post]
8 Nov 2011, 3:07 pm
In any event, here is the full exchange: GRAHAM: Thank you Mr. [read post]
7 Nov 2011, 5:07 am
You’ve probably heard the charges made by politicians and activists that the Securities and Exchange Commission is ineffective and not bringing charges against those who caused the 2008 financial crisis. [read post]
Privacy Victims by the Million: Federal Law Turns Parents and Children into Liars ... and Criminals?
5 Nov 2011, 12:11 pm
Apparently in exchange for providing this information, a child was entered into a contest. [read post]
5 Nov 2011, 8:25 am
Rather, it requires the SEC to engage in rulemaking to do so: "Not later than 90 days after the date of the enactment of this Act, the Securities and Exchange Commission shall revise its rules issued in section 230.506 of title 17, Code of Federal Regulations, to provide that the prohibition against general solicitation or general advertising contained in section 230.502(c) of such title shall not apply to offers and sales of securities made pursuant to… [read post]
3 Nov 2011, 8:08 am
However, additional conditions apply to get the exemption from state regulation: the "new" Reg A securities must be "(i) offered or sold through a broker or dealer; (ii) offered or sold on a national securities exchange; or (iii) sold to a qualified purchaser as defined by the Commission pursuant to paragraph (3). [read post]
31 Oct 2011, 9:38 am
Here’s a summary from Sara Randazzo of Am Law Daily: A former Nixon Peabody partner caught up in a Securities and Exchange Commission investigation of a former client’s alleged securities fraud sued the firm this week, claiming Nixon made him a scapegoat in the matter and took most of his $1.5 million book of business out from under him. [read post]
31 Oct 2011, 8:06 am
The Hamiltonians had warned of “the adverse consequences of sustained large budget deficits” during the Bush administration and advocated “painful adjustments,” namely cuts to social insurance programs like Social Security and Medicare in exchange for more liberal policies like tax increases and healthcare reform. [read post]
30 Oct 2011, 3:40 pm
The Securities and Exchange Commission also has identified substantial accounting irregularities among these companies, which have applied the reverse merger strategy to join the US markets. [read post]
29 Oct 2011, 8:02 am
Now, the DCF has cautioned that the Disclosure Guidance only represents its own views and “is not a rule, regulation, or statement of the Securities and Exchange Commission. [read post]
27 Oct 2011, 3:41 pm
Notably, the Securities and Exchange Commission filed an amicus brief in support of the prevailing appellees. [read post]
25 Oct 2011, 12:00 pm
SEC Tells Public Companies: Disclose Your Cyber RisksOn October 13 the Securities and Exchange Commission's Division of Corporate Finance directed public companies to disclose cybersecurity risks and incidents to investors. [read post]
24 Oct 2011, 12:10 pm
The De Larosière report highlighted that one of the problems leading to the financial crisis was an inconsistent implementation of financial services rules leading to a fragmented internal market. [read post]
24 Oct 2011, 12:00 pm
Securities and Exchange Commission. [read post]
24 Oct 2011, 5:54 am
Because it didn’t come from the Federal Trade Commission, a Canadian Privacy Commissioner or a European Data Protection Authority – it came from the Securities and Exchange Commission (“SEC”). [read post]
23 Oct 2011, 9:40 pm
The Kat just wants to say "hello" to the newcomers and to assure them that they're very welcome. [read post]
