Search for: "In Re Securities and Exchange Commission"
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22 Sep 2011, 5:52 pm
Anyway, now Joel calls my attention to this: The Securities and Exchange Commission has charged Barr Rosenberg, a leading academic and quant fund manager, with fraud. [read post]
22 Sep 2011, 6:35 am
Jim Copland speaks with Harvey Pitt, former chairman of the Securities and Exchange Commission, about shareholder proposal trends over the last four years and how the SEC has changed since Dodd-Frank. [read post]
21 Sep 2011, 8:37 am
It appears, from the News Release, that the DOL wants more input from the public and other rule makers (e.g., the Securities and Exchange Commission and the Commodities Futures Trading Commission) and more time to review and consider a revised definition. [read post]
20 Sep 2011, 5:18 am
DOL said that, consistent with the President's January executive order on regulation, the re-proposal will be designed to inform judgments, ensure an open exchange of views and protect consumers while avoiding unjustified costs and burdens. [read post]
17 Sep 2011, 4:28 pm
Prior to graduation she worked as a full-time intern at the Securities and Exchange Commission in the Division of Market Regulation Office of Chief Counsel in Washington, DC. [read post]
15 Sep 2011, 8:44 am
Circuit Court of Appeals invalidating Exchange Act Rule 14a-11. [read post]
14 Sep 2011, 2:45 pm
establish the Investor Advisory Committee (September 13, 2011): Today, the Securities and Exchange Commission (“SEC”) announced the formation of a new Advisory Committee on Small and Emerging Companies (the “ACSEC”),... [read post]
14 Sep 2011, 2:00 am
O’Leary On August 30, 2011, the Securities and Exchange Commission (SEC) announced a settlement with James O’Leary, the former chief financial officer of Beazer Homes USA, to recover approximately $1.4 million in cash bonuses, incentive and equity-based compensation, and profits from his sale of Beazer stock during the period of time that the SEC alleged an individual at Beazer—but not O’Leary—was committing “accounting misconduct. [read post]
9 Sep 2011, 11:42 am
The Securities and Exchange Commission Aug. 31 voted unanimously to issue a concept release soliciting public comments on issues raised by mutual funds, exchange-traded funds, and other investment companies’ use of derivatives. [read post]
9 Sep 2011, 2:51 am
Meanwhile, congressional Republicans have already succeeded in cutting funding for the Securities and Exchange Commission despite increased responsibilities under the Dodd-Frank Act. [read post]
6 Sep 2011, 2:24 pm
” In May, Shelby and 43 other Republican senators sent a letter to President Obama vowing to block any nominee unless the bureau was restructured with a board of directors, akin to the Securities and Exchange Commission, and was funded via the appropriations process. [read post]
5 Sep 2011, 11:34 am
Securing the re-zoning is a major undertaking, involving years of prep work -- scoping hearings for environmental assessment, ULURP for city rezonings, etc. [read post]
5 Sep 2011, 10:50 am
If this is the case, you will need to wait 30 days before re-taking the exam. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
31 Aug 2011, 1:15 pm
Ziliak erroneously reads into the Court’s opinion a requirement that a pharmaceutical company, reporting to the Securities and Exchange Commission “can no longer hide adverse effect [sic] reports from investors on the basis that reports are not statistically significant. [read post]
31 Aug 2011, 10:27 am
They could finally achieve the demise of securities class claims.Fully Federalizing the Federal Arbitration Act Roger Williams Univ. [read post]
29 Aug 2011, 3:28 pm
”); Securities & Exchange Commission v. [read post]
29 Aug 2011, 2:00 pm
In re Bigio, 381 F.3d 1320, 1324 (Fed. [read post]
28 Aug 2011, 4:23 pm
Last month, in June, a report was submitted to Congress with an update re NEI. [read post]
