Search for: "In Re Securities and Exchange Commission"
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22 Jan 2008, 8:20 am
Beazer asked the Securities and Exchange Commission for permission to omit the proposal, but the company's "no action" petition was denied. [read post]
12 Aug 2019, 3:00 am
., a Texas-based real-estate firm, added references to active-shooter scenarios in the “risk factor” section of their latest annual reports, according to an analysis of Securities and Exchange Commission filings. [read post]
5 Jul 2018, 9:30 pm
Securities and Exchange Commission (SEC) brings more enforcement actions against non-U.S. companies. [read post]
2 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed a rule to update its ethics compliance regulations for its own employees. [read post]
15 Jul 2020, 4:25 am
As you endeavor to re-establish your routine in our ever-changing “new normal,” we would like to highlight some items we hope will help you stay on top of the business and regulatory landscape in the coming months. **** SEC Matters Compliance with Regulation Best Interest (Reg BI) was Required as of June 30, 2020. [read post]
21 Sep 2008, 5:59 pm
Toner, Chairman of the Federal Election Commission (FEC). [read post]
20 Apr 2007, 7:39 am
In January, UnitedHealth asked the Securities and Exchange Commission for permission to exclude the measure on the grounds that CalPERS hadn't met the legal requirements of Minnesota (where the health insurance firm is incorporated) to propose a bylaw change. [read post]
24 Feb 2022, 9:03 pm
” WHAT WE’RE READING THIS WEEK In a report, the U.S. [read post]
9 Dec 2021, 9:03 pm
Department of Justice Antitrust Division, the Federal Trade Commission, and the European Commission launched a joint commitment between the European Union and the United States to promote fair competition for the benefit of consumers, businesses, and workers. [read post]
21 Jun 2018, 9:30 pm
Supreme Court ruled 7-2 that the Securities and Exchange Commission’s (SEC) administrative law judges (ALJs) are not “simply employees of the Federal Government” and must therefore be appointed by the agencies’ commissioners. [read post]
2 Sep 2021, 9:03 pm
Securities and Exchange Commission (SEC) issued a request for information and comments from the public concerning retail investment firms’ use of digital engagement practices—such as incorporating celebrations and gamifying trading by offering prizes to investors. [read post]
29 Aug 2019, 9:05 pm
Securities and Exchange Commission issued the Regulation Fair Disclosure, which was intended to reduce the amount of unequal access to market information and level the playing field for small investors. [read post]
8 Nov 2018, 9:30 pm
Securities and Exchange Commission following charges that he had knowingly misled investors about a plan to take the company private at a “substantial premium to its trading price at the time. [read post]
8 Jan 2018, 2:38 pm
Securities & Exchange Commission (“SEC”) constituted claims for purposes of an excess policy’s prior and pending claims exclusion. [read post]
15 Jul 2016, 6:38 am
A jury convicted him of using his office to secure consulting contracts and investments from lobbyists or those who employ them. [read post]
4 Aug 2012, 3:20 pm
The release also notes that audit committees should be aware that the PCAOB regularly communicates company-specific inspection information to the Securities and Exchange Commission, including information about auditing deficiencies, possible material misstatements, potential audit firm independence violations and other issues, all of which are first discussed with the company’s audit firm during the inspection process. [read post]
4 Jan 2024, 9:05 pm
Securities and Exchange Commission and the Commodity Futures Trading Commission may need to expand to encompass broader regulatory authority over cryptocurrency trading. [read post]
19 Mar 2015, 12:39 pm
Even so, the exchange prompted Nancy A. [read post]
29 Nov 2009, 3:57 pm
Knowing this possibility may hinder the Attorney-Client relationships because the company may be afraid to disclose certain conversations regarding, for instance, the company’s questionable antitrust and securities activities to the Department of Justice (DOJ) for fear that the DOJ will pass along the information to the Securities and Exchange Commission (SEC). [read post]
13 Oct 2010, 8:46 am
Non-Enforcement Matters Regulation Requirements for Municipal Advisers Not Clear to All Some municipal advisers and their counsel believe that the SEC’s temporary rule requiring municipal advisers to register (Rule 15Ba2-6T under the Securities Exchange Act of 1934) lacks clarity and needs to be amended. [read post]
