Search for: "In Re Securities and Exchange Commission"
Results 2241 - 2260
of 2,834
Sort by Relevance
|
Sort by Date
15 Feb 2011, 4:15 am
Securities and Exchange Commission, http://www.sec.gov/ Favorite Legal Software: Directors Desk, http://www.directorsdesk.com/ Do you use social media resources, such as LinkedIn, Facebook, Twitter or blogs, for career and/or case development? [read post]
13 Feb 2011, 3:12 pm
In addition, the re-allocation of goodwill and intangible assets seems to explain why Keurig’s total assets as of June 27, 2009 was revised upward from $112.857 million in its Q3 2009 10-Q report to $240.859 million in its Q3 2010 10-Q report for the same June 27, 2009 date. [read post]
11 Feb 2011, 12:28 pm
The Securities and Exchange Commission's own exhaustive 2009 survey of U.S. and foreign firms showed that the burden of complying with Sarbox remains a major deterrent to going public in the United States. [read post]
11 Feb 2011, 8:00 am
The lawsuit brought against the Securities and Exchange Commission last fall by the U.S. [read post]
7 Feb 2011, 5:56 pm
Any firm acting as a counterparty to certain off-exchange forex transactions involving retail persons is required to register as a Retail Foreign Exchange Dealer. [read post]
3 Feb 2011, 3:06 pm
ACCOUNTABILITY, LIKE TAXES, IS FOR THE LITTLE PEOPLE: SEC CAN’T PASS AUDIT: If a company’s financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
3 Feb 2011, 9:59 am
BNA reports: The Securities and Exchange Commission is examining statements made by the state of Illinois regarding potential benefits stemming from a pension reform law enacted by state lawmakers last year, a spokeswoman for Gov. [read post]
2 Feb 2011, 10:11 am
In 2005, the Securities & Exchange Commission (“SEC”) commenced an inquiry into iMergent’s revenue recognition practices regarding its Extended Payment Term Arrangements (“EPTAs”). [read post]
1 Feb 2011, 1:36 pm
The Securities and Exchange Commission has charged eight people with fraud in a global, $33-million pump-and-dump scheme involving Chinese companies that went public in the U.S. through reverse mergers.The defendants include Francis A. [read post]
26 Jan 2011, 8:35 am
The communication was for the purpose of securing legal advice. [read post]
25 Jan 2011, 9:41 am
The Securities and Exchange Commission was very busy today in their latest work implementing the Dodd-Frank bill. [read post]
22 Jan 2011, 7:50 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]
21 Jan 2011, 2:14 pm
‘Authorizing FINRA to enforce the Advisers Act would free existing Commission resources spent examining dual registrants to be re-directed to other investment advisers. [read post]
19 Jan 2011, 6:13 pm
On July 28, 2010, the Securities and Exchange Commission (“SEC”) amended Part 2 of Form ADV and certain rules under the Investment Advisers Act of 1940 to require registered investment advisers (“RIAs”) to provide clients with a brochure and brochure supplements written in plain English. [read post]
19 Jan 2011, 6:02 am
The appellate court majority reasoned that the mediation confidentiality statutes are intended to prevent the damaging use against a mediation disputant of tactics employed, positions taken, or confidences exchanged in the mediation, not to protect attorneys from the malpractice claims of their own clients. [read post]
18 Jan 2011, 11:58 am
Attorney John Avery appeared on behalf of the Securities and Exchange Commission (SEC). [read post]
5 Jan 2011, 6:26 am
I will only discuss the Lanham Act claims, though they’re obviously just a part of the case, which includes a large RICO component. [read post]
28 Dec 2010, 10:11 am
The New York Times' Dealbook says though it's not clear exactly what they're worried about, the Securities and Exchange Commission is looking into the growing tide of exchanges set-up to trade shares in private companies that include Facebook, Twitter and LinkedIn. [read post]
27 Dec 2010, 10:18 am
Securities and Exchange Commission has begun an investigation into reverse takeovers and is targeting individual Chinese companies for accounting violations and lax auditing practices. [read post]
23 Dec 2010, 11:40 am
European Commission has legislative initiative, and strong soft powers/industry liaison. [read post]
