Search for: "Securities and Exchange Commission"
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2 Feb 2009, 5:02 pm
To require hedge funds to register with the Securities and Exchange Commission, and for other purposes. [read post]
13 Oct 2014, 6:00 am
Securities and Exchange Commission. [read post]
25 May 2013, 7:35 am
Securities and Exchange Commission. [read post]
28 Jun 2022, 9:00 am
This handbook, written by a litigator who has taught securities law at two law schools, as well as at the Securities and Exchange Commission, will help to lead practitioners, law professors, law students, and even those not schooled in the law, through the maze of American securities. [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]
7 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
7 Mar 2024, 6:30 am
Securities and Exchange Commission. [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]
25 Aug 2016, 6:24 am
Securities and Exchange Commission. [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]
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]
27 Jul 2010, 2:56 pm
The Securities and Exchange Commission is calling for public commentary on proposed regulatory initiatives under the Dodd-Frank Act, including the new Ombuds for the Office of the Investor Advocate. [read post]
6 Nov 2008, 4:44 pm
Recently the SEC (Securities and Exchange Commission) instituted settled administrative proceedings against Stephen Moynahan (SEC Rel.No. 34-58689). [read post]
7 Sep 2011, 8:46 am
A former Dechert partner has returned to the firm after two years with the Securities and Exchange Commission, the firm announced Wednesday. [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]
14 Oct 2010, 9:15 am
A federal judge has approved Dell's proposed $100 million settlement with the US Securities and Exchange Commission. [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]
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]
