Search for: "Securities and Exchange Commission"
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13 Dec 2006, 10:22 am
The Securities and Exchange Commission today proposed guidance to make it easier and less costly for companies to comply with internal-controls rules set forth by the Sarbanes-Oxley Act. [read post]
8 Jan 2021, 5:52 am
I am writing in regards to the notice that the Securities and Exchange Commission (SEC or the Commission) will, on Wednesday, December 16, 2020, consider adopting rules that “will require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas, or minerals. [read post]
26 Mar 2009, 11:31 am
Securities and Exchange Commission or of my fellow Commissioners. [read post]
6 Aug 2012, 6:39 am
Thomas, partner at Labaton Sucharow LLP and former assistant director at the Securities and Exchange Commission. [read post]
2 Feb 2009, 5:02 pm
To require hedge funds to register with the Securities and Exchange Commission, and for other purposes. [read post]
12 Jun 2023, 4:50 am
New Exchange Act Rule 9j-1 is meant to prevent fraud, manipulation, and deception in connection with security-based swap transactions. [read post]
7 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
7 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
28 Oct 2015, 6:06 am
On July 1, 2015, the Securities and Exchange Commission (SEC) issued Proposed Rule 10D-1 relating to so-called “clawbacks” pursuant to Section 10D of the Securities and Exchange Act of 1934 (the Exchange Act). [read post]
11 Nov 2016, 1:30 pm
On October 20, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings pursuant to Section 21C of the Securities Exchange Act of 1934 (“Exchange Act”), against FMC Technologies, Inc. [read post]
11 Nov 2016, 1:30 pm
On October 20, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings pursuant to Section 21C of the Securities Exchange Act of 1934 (“Exchange Act”), against FMC Technologies, Inc. [read post]
20 May 2023, 6:30 am
Securities and Exchange Commission. [read post]
20 May 2023, 6:30 am
Securities and Exchange Commission. [read post]
11 Dec 2006, 8:46 am
Securities and Exchange Commission earlier this year. [read post]
8 Mar 2023, 4:36 pm
The Financial Services Commission (the “FSC”) in February of 2023 announced a plan to overhaul the Security Token legal regime in Korea. [read post]
25 Aug 2016, 6:24 am
Securities and Exchange Commission. [read post]
25 Apr 2012, 7:31 pm
H & R Block (HRB) subsidiary Option One Mortgage Corporation has agreed to pay $28.2 million to settle Securities and Exchange Commission charges that it misled investors in over $4B in residential mortgage-backed securities when it failed to let them know that the company’s financial health was deteriorating. [read post]
7 Nov 2022, 10:36 am
The US Supreme Court Monday heard oral arguments in Securities and Exchange Commission v. [read post]
31 Oct 2022, 10:47 am
The Securities and Exchange Commission governs private placements exemption from registration of securities on an exchange that are still sold to the investing public via Regulation D (Reg D). [read post]
26 Aug 2011, 10:23 am
Staff of the Ontario Securities Commission today released a notice setting out their views on the application of prospectus requirements and product regulation in connection with cross-listings by foreign exchange-traded mutual funds. [read post]
