Search for: "United States Securities and Exchange Commission"
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21 Oct 2008, 2:23 pm
New book, entitled Corporate Governance: Promises Kept, Promises Broken, from a leading scholar of the subject (via Prawfsblawg): In the wake of the Enron meltdown and other corporate scandals, the United States has increasingly relied on Securities and Exchange Commission... [read post]
6 Dec 2022, 5:40 am
The United States Securities and Exchange Commission granted a $20 million award to a whistleblower at the… The post Reporting Financial Fraud Pays: SEC Awards Whistleblower $20 Million appeared first on TZ Legal - Fraud Fighters. [read post]
8 Nov 2006, 5:35 am
Merck said in the filing with the Securities and Exchange Commission that it disagrees with the proposed tax adjustments and [...] [read post]
30 Jun 2011, 2:57 pm
The case of United States Securities & Exchange Commission v. [read post]
16 Nov 2018, 1:07 pm
On October 31, 2018, the United States Securities and Exchange Commission (the “SEC”) announced that it adopted rules to modernize mining property disclosure in order to harmonize SEC disclosure requirements with international standards. [read post]
15 Nov 2007, 1:14 pm
Corporations outside the United States that use international accounting standards will no longer be required to adjust their financial statements to comply with American accounting rules, the Securities and Exchange Commission decided Thursday. [read post]
25 Aug 2021, 8:13 am
On August 20, 2021, the United States Securities and Exchange Commission (“SEC”) filed an emergency action to stop a fraudulent Ponzi scheme allegedly perpetrated by Marietta, Georgia resident John Woods and two entities he controls: registered investment adviser Livingston Group Asset Management Company, d/b/a Southport Capital (“Southport”), and investment fund Horizon Private Equity, III, LLC. [read post]
1 Aug 2017, 5:53 pm
On July 25, 2017, the US Securities and Exchange Commission (“SEC”) issued an investigative report stating that US securities laws apply to sales of securities in the United States purchased with virtual currencies or distributed with blockchain technology. [read post]
17 Jun 2011, 9:00 am
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
1 Jul 2009, 11:33 am
The Securities and Exchange Commission is considering whether to file civil charges against State Street Corp. over possible securities violations related to subprime mortgages. [read post]
26 Apr 2011, 1:00 pm
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
25 Nov 2021, 5:01 am
The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on Dec. 2 by remote means. [read post]
24 Nov 2021, 5:12 am
The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who provided information and assistance in three separate covered actions. [read post]
20 Nov 2021, 5:12 am
David…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and Content from Securities Regulators and Top Securities Lawyers [read post]
22 Nov 2021, 5:12 am
The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. [read post]
26 Nov 2021, 1:24 pm
The rule changes will give…For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and Content from Securities Regulators and Top Securities Lawyers [read post]
21 Nov 2021, 5:03 am
The Securities and Exchange Commission today announced that an affiliate of McKinsey & Company that offers investment options exclusively to current and former McKinsey partners and employees has agreed to pay an $18 million penalty for compliance…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and Content from… [read post]
31 Mar 2011, 1:00 pm
United Kingdom Of Great Britain And Northern Ireland Extradition Treaty, protocol of signature and exchange of notes signed at London on June 8, 1972; Ratification advised by the Senate of the United States of America on June 21, 1976; Ratified by the President of the United States of America on September 10, 1976; Ratifications exchanged at Washington on October 21, 1976; Proclaimed by the President of the United… [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
