Search for: "In Re Securities and Exchange Commission"
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6 Jan 2012, 7:48 am
Here at footnoted, with 2011 safely behind us, we’re doing the same, stepping back and looking at the filing landscape from last year with the help of our friends and coworkers at Morningstar Document Research — nee 10-K Wizard, the service we use to search and read slice, dice and crunch public-company filings with the Securities and Exchange Commissions. [read post]
23 Nov 2008, 11:38 pm
Lynn Turner, a former chief accountant with the Securities and Exchange Commission, said the bank's balkanized culture and pell-mell management made problems inevitable. [read post]
13 Jan 2014, 8:28 pm
Their Bitcoin investments are soaring and in their July filing with the Securities and Exchange Commission for their Winklevoss Bitcoin Trust, they note that “[t]here are no regulations, rulings or other authority that address the US federal income tax treatment of Bitcoins” and suggest that “[u]nder one reasonable approach, a Bitcoin should be treated as a capital asset (and not as “currency”). [read post]
16 May 2010, 5:47 pm
They're saying we need to restrict our rights under the Constitution to defeat the terrorists. [read post]
23 Mar 2007, 10:58 am
Securities and Exchange Commission (SEC). [read post]
19 Aug 2022, 4:00 am
Homeland Security Watchdog Cuffari Faces Rebukes from Lawmakers in Missing Texts Case MSN – Maria Sacchetti (Washington Post) | Published: 8/16/2022 The Department of Homeland Security’s chief watchdog rejected calls from leading Democratic legislators to recuse himself from the investigation into the erasure of text messages that Secret Service agents exchanged during the attack on the Capitol, drawing fresh rebukes from lawmakers. [read post]
23 Mar 2020, 1:48 pm
We’ve been reading with great interest blog posts and articles published by several of the law firms that regularly represent large companies in corporate America, and which provide counsel regarding new areas of focus and change in order for directors and officers (D&O) of public companies to effectively conduct their duties, as well as to minimize their potential liability exposure to Securities Exchange Commission (SEC) scrutiny and private civil litigation… [read post]
7 Nov 2016, 9:31 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Individuals, Fined & SanctionedCaldwell International Securities Corporation of Nassau, Bahamas, Greg Allen Caldwell of Austin, Texas and Paul Joseph Jacobs of Austin, Texas submitted an Offer of Settlement in which the firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in… [read post]
2 Apr 2020, 9:05 pm
Securities and Exchange Commission (SEC) announced temporary regulations aimed at providing relief to certain entities that issue securities by extending the current filing deadlines related to Regulation Crowdfunding and Regulation A exemptions. [read post]
1 Jul 2011, 12:52 am
Wells Fargo, in a variation on the same theme, provided the judge with a copy of the Pooling & Servicing Agreement (“PSA”), but the copy was downloaded from the Securities and Exchange Commission website and was not signed, so it didn’t contain the loan schedules referenced in the agreement that should have identified the mortgage in question as being included in the pool. [read post]
11 Jul 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Yale Journal on Regulation, Andrew K. [read post]
25 Jun 2008, 12:35 am
It's just kinda strange CC-1: We're working Boroch: Ok. [read post]
27 Apr 2023, 9:01 pm
Moreover, several government agencies, including the Securities and Exchange Commission,[2] have operations plans in place that come into play during an appropriations lapse and resulting government shutdown. [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
28 Aug 2015, 6:40 am
Ahmad admitted he funneled business to Douglas Hampton, a securities broker, in exchange for bribes. [read post]
28 Jul 2007, 8:50 am
" Caremark briefly refers to the lawsuit in its Aug. 8 filing with the Securities Exchange Commission, stating that California Attorney General Bill Lockyer has declined to intervene in the lawsuit. [read post]
10 Sep 2007, 1:02 am
SEC Stumbles on Privilege Waivers
The Recorder
More than ever, the Securities and Exchange Commission is dependent on companies cooperating with probes by conducting internal investigations -- and waiving attorney-client privilege to disclose the results. [read post]
22 Oct 2020, 9:05 pm
Securities and Exchange Commission require companies to report climate risks and the United States to set a national price on carbon emissions to reduce emissions consistent with the Paris Agreement. [read post]
2 Feb 2018, 7:44 am
(Pix © Larry Catá Backer 2018)Since at least 1945 there have been significant efforts to produce global consensus on baseline norms through which states, individuals, and collectives could judge the legitimacy of state actors (and recently other transnational actors). [read post]
8 Apr 2024, 3:10 am
For completeness, REMIT II defines OMPs as an energy exchange, an energy broker, an energy capacity platform or any other system of facility in which multiple third-party buying or selling interests in wholesale energy products interact in a manner that may result in a transaction. 5. [read post]
