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13 Sep 2007, 2:09 pm
As if I’d ever let you forget, I will remind you that Usana Health Sciences is being investigated by the Securities and Exchange Commission for violation of securities laws. [read post]
15 Oct 2009, 9:46 am
In a regulatory filing today, San Francisco-based Charles Schwab reported that it received a Wells Notice from the Securities and Exchange Commission (SEC) for alleged securities law vioations regarding its Schwab YieldPlus and Total Bond Market Fund. [read post]
7 Aug 2010, 12:01 pm
The Commission says the broad exemption from FOIA is necessary to gather confidential business data from industry insiders who otherwise would fear that their trade secrets would be made public.The Chicago Tribune, in an editorial, isn’t buying that rationale. [read post]
11 Sep 2012, 12:52 pm
Securities and Exchange Commission, where he was chief counsel of the agency's enforcement division. [read post]
12 Sep 2024, 12:15 am
Yesterday's post again discussed whether the Securities and Exchange Commission exceeded its authority in adopting Rule 21F-17(a), which provides: No person may take any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including enforcing, or threatening to enforce, a confidentiality agreement (other than agreements dealing with information covered by §… [read post]
2 Nov 2021, 9:05 pm
Securities and Exchange Commission (SEC) in April 2021, the cryptocurrency industry rejoiced at the news of an expert on digital assets guiding securities regulation and policy. [read post]
14 Feb 2022, 9:00 am
See Securities and Exchange Commission v. [read post]
1 Apr 2015, 1:43 pm
By Ada Dolph, Christopher Robertson, and Robert Milligan The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud complaints in-house. [read post]
19 Nov 2022, 6:30 am
This Alert summarizes new Rule 10D-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) as adopted and released by the Securities and Exchange Commission (the “SEC”) on October 26, 2022, requiring the recovery of erroneously awarded incentive-based compensation in the event that an issuer is required to prepare an accounting restatement. [read post]
19 Nov 2022, 6:30 am
This Alert summarizes new Rule 10D-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) as adopted and released by the Securities and Exchange Commission (the “SEC”) on October 26, 2022, requiring the recovery of erroneously awarded incentive-based compensation in the event that an issuer is required to prepare an accounting restatement. [read post]
30 Mar 2007, 8:00 am
Securities and Exchange Commission filed a complaint on Wednesday against Rex Rogers, the former associate general counsel at Enron, and Jordan Mintz, the former general counsel for Enron's finance group, with civil violations of securities laws because of omitting or fudging regulatory filing disclosures. [read post]
5 Dec 2009, 2:13 pm
Denise Voigt Crawford, the Texas securities commissioner and current North American Securities Administrators Association president, says it isn’t evident that the US Securities and Exchange Commission has implemented key reforms to the issues that allowed the agency to fail to detect Bernard Madoff’s $50 billion ponzi scheme for almost 20 years. [read post]
27 Dec 2019, 6:59 am
Securities and Exchange Commission, on Saturday, December 21, 2019 Tags: Disclosure, International governance, SEC, Securities regulation, Transparency Statement by Commissioner Peirce on Proposed Resource Extraction Rule Posted by Hester M. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
21 Jul 2014, 6:11 am
Securities and Exchange Commission. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
25 Jul 2014, 6:00 am
Securities and Exchange Commission. [read post]
