Search for: "In Re Securities and Exchange Commission"
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1 Jun 2011, 1:44 am
As a reminder, as the NYTimes puts it, Tourre earned "the dubious distinction of becoming the only individual at Goldman and across Wall Street sued by the Securities and Exchange Commission for helping to sell a mortgage-securities investment, in one of the hundreds of mortgage deals created during the bubble years. [read post]
26 May 2011, 1:29 pm
The Securities and Exchange Commission today filed a civil action against Johnson in the U.S. [read post]
26 May 2011, 8:00 am
First would be to give all regulatory responsibility to the Securities and Exchange of Commission (or FINRA). [read post]
25 May 2011, 6:42 am
Here's a report that turns over some rocks at the Securities and Exchange Commission, exposing some ugly critters underneath. [read post]
23 May 2011, 9:47 am
The Justice Department and Securities and Exchange Commission continue to rely heavily on companies to shine a spotlight on themselves and to root out potential fraud within their own walls. [read post]
23 May 2011, 5:05 am
The underlying actions were brought by persons who had purchased mortgage pass-through certificates, registered with the Securities and Exchange Commission (“SEC”) and entitling them to distributions from underlying pools of mortgages. [read post]
20 May 2011, 7:16 am
That means we’re not thrilled with the 8-K that CA (CA) filed on Wednesday. [read post]
15 May 2011, 3:44 pm
In response to these realities, the Federal Communications Commission is considering requiring robust disclosure by TV stations of the major donors of political ads; the Securities and Exchange Commission is considering requiring public corporations to disclose to stockholders their spending on politics, and the White House has drafted an executive order to require companies applying for federal contracts to disclose their spending on political campaigns. . . . [read post]
15 May 2011, 12:32 pm
In response to these realities, the Federal Communications Commission is considering requiring robust disclosure by TV stations of the major donors of political ads; the Securities and Exchange Commission is considering requiring public corporations to disclose to stockholders their spending on politics, and the White House has drafted an executive order to require companies applying for federal contracts to disclose their spending on political campaigns. . . . [read post]
10 May 2011, 1:00 pm
Article 24 provides that the Treaty will enter into force immediately upon the exchange of the instruments of ratification. [read post]
10 May 2011, 9:00 am
Ratifications were exchanged on December 5, 1963. [read post]
9 May 2011, 7:59 am
Anyone but the most trusting investor recognizes that Securities and Exchange Commission filings contain more than a little puffery and marketing folderol, especially when it comes to executive pay and benefits. [read post]
6 May 2011, 11:19 am
Securities & Exchange Commission's new program rewarding individuals for their cooperation has been "a success," said Enforcement Division head Robert Khuzami, speaking today at a securities law conference in Colorado. [read post]
6 May 2011, 9:35 am
Re-showing all the scenes and evidence while Costner is explaining it. [read post]
6 May 2011, 9:35 am
If you don’t, they’re onto something else. [read post]
29 Apr 2011, 5:00 am
” Whistleblower Rules May Not Be Ready Until Summer by Joe Palazzolo in WSJ.com’s Corruption Currents After missing an April deadline, the Securities and Exchange Commission said it now expects to finalize rules for its whistleblower program by July, reports Dow Jones’ Jessica Holzer. [read post]
28 Apr 2011, 1:00 pm
Germany International Extradition Treaty with the United States June 20, 1978, Date-Signed August 29, 1980, Date-In-Force MESSAGE FROM THE PRESIDENT OF THE UNITED STATES 96TH CONGRESS SENATE THE WHITE HOUSE, January 19, 1979. [read post]
28 Apr 2011, 10:50 am
A statutory deadline of April 21, 2011 had been imposed by Congress for the SEC (Securities and Exchange Commission) to issue rules for a whistleblower program. [read post]
27 Apr 2011, 12:23 pm
http://tinyurl.com/3fmxvzh (Sharon Nelson) How Failing to Secure Your Wireless Router Can Get You Thrown Facedown On Your Family Room Floor - http://tinyurl.com/3fxm32t (Brett Trout) Manage and Mitigate EDD Costs With Microsoft Exchange Server 2010 - http://tinyurl.com/439wkfn (Bobby Malhotra) Metadata Goes to Court - http://tinyurl.com/4xzn2yq (Cynthia Murrell) Much Ado About Metadata - http://tinyurl.com/3hsndca (IDM) Mt. [read post]
20 Apr 2011, 6:09 am
Less than a year after Bernard Madoff turned himself in, a lawsuit was filed against the Securities & Exchange Commission, blaming the agency for allowing the Madoff swindle to happen. [read post]
