Search for: "In Re Securities and Exchange Commission"
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19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
18 Sep 2012, 8:41 am
Securities and Exchange Commission to take a company public–including the ability to keep that very fact private. [read post]
1 Aug 2019, 9:05 pm
The plaintiffs, however, claimed that Capital One breached its implied contract with its customers and applicants and negligently failed to exercise care in securing their personal information, including by failing to follow data security practices recommended by the Federal Trade Commission. [read post]
21 Sep 2010, 5:25 am
They're all on the table. [read post]
2 Feb 2017, 9:30 pm
Securities and Exchange Commission pertaining to the ‘‘Disclosure of Payments by Resource Extraction Issuers,’’ the U.S. [read post]
28 Feb 2011, 4:19 pm
Significantly, the proposed protocol was based on the “format demands routinely made by two government entities-the Securities and Exchange Commission and the Department of Justice Criminal Division” (invoking the old “good for the goose” argument). [read post]
8 Jun 2023, 9:05 pm
Securities and Exchange Commission’s proposed amendments to the “Names Rule. [read post]
20 Nov 2021, 1:41 pm
Supply Chain and Small Business Provisions In light of ongoing supply chain issues, the bill includes $5 billion for the Department of Commerce to identify and monitor critical vulnerabilities in the manufacturing supply chain including $500 million for the Federal Trade Commission to create and operate a new bureau dedicated to stopping unfair and deceptive acts and practices related to privacy violations, data security incidents, identity theft and other data abuses. [read post]
7 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) approved a final rule requiring certain public companies to report their greenhouse gas emissions and climate risks. [read post]
13 Apr 2017, 9:30 pm
Securities and Exchange Commission (SEC) announced fraud charges against 27 individuals and entities, including three public companies, seven stock promotion firms, and two corporate CEOs, alleging that they engaged in stock promotion schemes that disguised promotional materials as unbiased analyses intended to mislead potential investors. [read post]
12 Jul 2018, 9:30 pm
Securities and Exchange Commission (SEC), which held that the SEC’s ALJs must be appointed by the President or the head of a department. [read post]
18 Apr 2019, 3:00 am
Securities and Exchange Commission level, with certain institutional investors agitating for additional ESG disclosure requirements. [read post]
12 Mar 2022, 7:20 am
Securities and Exchange Commission (SEC). [read post]
21 Dec 2009, 3:58 am
Samueli with lying to the Securities and Exchange Commission in its investigation of whether Broadcom misstated its earnings by improperly accounting for executive stock options. [read post]
18 Apr 2024, 9:01 pm
But irrespective of the context, if you’re speaking on AI, you too must ensure that you do so in a manner that is not materially false or misleading. [read post]
27 Apr 2017, 10:13 am
The Federal Reserve and the International Organization of the Securities Commission have provided some flexibility for swap dealers facing a March 1, 2017, deadline to implement certain variation margin compliance requirements for uncleared swaps. [read post]
2 Feb 2012, 7:12 am
As it turned out, that executive faced insider trading allegations by the Securities and Exchange Commission a few months later, which she settled without admitting or denying anything. [read post]
22 Jul 2015, 3:56 am
In addition, check out this study entitled “Consumers Prefer Firms with Lower CEO-to-Worker Pay Ratios” – and this WSJ article entitled “CFOs Prep for Pay-Ratio Rules“: Finance chiefs at public companies are looking for clarification from the Securities and Exchange Commission as they prepare to comply with coming regulations on how they must disclose the boss’s pay compared to a typical worker. [read post]
2 Feb 2010, 8:12 am
The Securities and Exchange Commission (SEC) has issued guidance telling companies they must disclosure risks to investors related to the company's exposure to effects of climate change and potential regulations. [read post]
15 Feb 2007, 12:00 am
Several firm leaders, such as Cummings & Lockwood's Jonathan Mills, have said they'll reassess associate salaries midyear to see if they're competitive.
Thacher Proffitt Fires Second Associate After Insider-Trading Scheme
New York Law Journal
Thacher Proffitt & Wood has terminated an associate who agreed to pay $42,000 in civil penalties after the Securities and Exchange Commission accused him of insider trading. [read post]
