Search for: "In Re Securities and Exchange Commission"
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17 Nov 2010, 11:51 am
The recent weeks brought a flood of quarterly reports as companies on calendar years rushed to file their 10-Qs with the Securities and Exchange Commission. [read post]
11 Nov 2010, 7:27 am
We’re much more interested in the 8-K that Viacom filed the other day to explain why it wouldn’t be filing an 8-K today: Due to a federal holiday, on November 11, 2010, the Securities and Exchange Commission’s (the “SEC”) EDGAR filing system will not be accepting electronic filings. [read post]
10 Nov 2010, 11:14 am
The co-chairmen of President Barack Obama’s debt-reduction commission will propose cuts to Social Security and Medicare, as well as reductions in income tax rates in exchange for curbing tax breaks, according to a Republican aide who attended the meeting. ... [read post]
10 Nov 2010, 5:00 am
With Dodd-Frank‘s elimination of the 15 client exemption, thousands (my guess) of private fund managers will need to register with the Securities and Exchange Commission as investment advisers to their funds. [read post]
9 Nov 2010, 9:18 pm
See, you’re feeling better already, aren’t you? [read post]
4 Nov 2010, 7:25 am
Securities and Exchange Commission that fines public companies when they record bribes inaccurately on their books and records, thereby masking the true value of the company’s shares. [read post]
2 Nov 2010, 5:46 pm
Health Care Reform: STATES GET $49 MILLION TO BUILD INSURANCE EXCHANGES, 13 No. 9 Westlaw Journal Nursing Home 6, Westlaw Journal Nursing Home October 22, 2010The federal government has awarded $49 million in grants to 48 states and the District of Columbia to help them research and develop health insurance exchanges aimed at helping consumers shop for coverage. [read post]
2 Nov 2010, 11:55 am
Department of the Treasury; • the Federal Deposit Insurance Corporation; • the Federal Housing Finance Agency; • all of the Federal Reserve banks; • the Board of Governors of the Federal Reserve System; • the National Credit Union Administration; • the Office of the Comptroller of the Currency; • the Securities and Exchange Commission; and • the Bureau of Consumer Financial Protection established by the legislation. [read post]
1 Nov 2010, 9:00 pm
Members who have enough points to secure the vacation accommodations they want can reserve them on a space-available basis. [read post]
1 Nov 2010, 11:51 am
Securities and Exchange Commission or the Commodity Futures Trading Commission stand to get between 10% and 30% of a penalty that is over $1 million. [read post]
1 Nov 2010, 5:00 am
In a win for the Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”), the Second Circuit Court of Appeals, reversed a settlement in a shareholder derivative case against DHB Industries, Inc. [read post]
31 Oct 2010, 8:34 am
Absence of exchange control. [read post]
26 Oct 2010, 10:48 am
• In addition to its role enforcing the federal securities laws, the Securities and Exchange Commission (SEC) has issued proposed rules that would provide greater transparency and disclosures in the securitization market and provide investors with additional tools to evaluate actions in the securitization market. [read post]
22 Oct 2010, 5:39 pm
The International Business Times is covering Judge Richard Seeborg's recent dismissal with leave to amend of a class action securities fraud complaint in In re NVIDIA Securities Class Action. [read post]
19 Oct 2010, 6:00 pm
Indeed, this is precisely what the Federal Trade Commission investigated DoubleClick for back in 2000. [read post]
19 Oct 2010, 4:55 am
As a result, cases do not arise from reportings to Canada's equivalent of the Securities Exchange Commission (since there are not any equivalent FCPA reportings). [read post]
19 Oct 2010, 12:59 am
A late Monday press release from the Securities and Exchange Commission announces a rule proposal to implement the say on pay requirements of the Dodd-Frank Act. [read post]
18 Oct 2010, 11:43 am
Similarly, Pakistan’s representative stressed that as a common heritage of mankind, space should remain free of inclusion in any military doctrine, as any military-related application of space would limit the scope and progress of its peaceful uses and would jeopardize the security of all. [read post]
15 Oct 2010, 8:34 am
SUMMARY On October 4, 2010, the Securities and Exchange Commission proposed rules pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
13 Oct 2010, 8:46 am
Non-Enforcement Matters Regulation Requirements for Municipal Advisers Not Clear to All Some municipal advisers and their counsel believe that the SEC’s temporary rule requiring municipal advisers to register (Rule 15Ba2-6T under the Securities Exchange Act of 1934) lacks clarity and needs to be amended. [read post]
