Search for: "In Re Securities and Exchange Commission"
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23 Aug 2010, 11:36 am
Meantime, if you’re looking for hot new trends, don’t bother with Securities and Exchange Commission filings. [read post]
23 Aug 2010, 8:48 am
But only those with more than $100 million under management will be regulated by the Securities and Exchange Commission. [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
23 Aug 2010, 4:30 am
In a first action of its kind, the Securities and Exchange Commission announced Aug. 18 that it filed settled administrative charges that the state of New Jersey violated federal securities laws by making misrepresentations in connection with certain municipal bond offerings (In re State of New Jersey, SEC, Admin. [read post]
20 Aug 2010, 5:54 am
Young and Emily exchanged emails to arrange . . . their meeting . . . on November 13, 2008. . . . [read post]
19 Aug 2010, 8:17 am
Its success or failure hinges on the future actions of regulators, including the Securities and Exchange Commission, he says. [read post]
17 Aug 2010, 1:17 pm
In 1996, Congress apportioned regulation of investment advisers between the Securities and Exchange Commission and the states based on the amount of assets that an adviser had under management. [read post]
17 Aug 2010, 7:00 am
Under current law, a party that cannot afford to secure representation in a divorce proceeding must make an application for fees at the end of the process, which can force a poor individual to proceed without a lawyer, or to surrender on important issues due to lack of means. [read post]
15 Aug 2010, 6:52 am
In 2007, I'd quoted from their 10-K (which is an annual report filed with the Securities and Exchange Commission) which informed us that: the company has a "significant level of indebtedness that could adversely affect our financial position," mostly spent to buy competing private prison companies. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
12 Aug 2010, 7:40 am
Liberty's former CEO eventually pleaded guilty to a single count of conspiring to commit wire fraud and was sued by the Securities and Exchange Commission. [read post]
9 Aug 2010, 11:49 am
But the Securities and Exchange Commission is expecting a big increase in tips from senior employees and third parties because of whistleblowing incentives in the new law that can reach seven-figures, as reported by CNBC in an August 9, 2010 article entitled “Wall Street Rewards to Trigger a Surge in Informants. [read post]
5 Aug 2010, 11:00 am
When goods are detained and rejected at the border, destruction, rather than re-exportation, now becomes the default mechanism for U.S. [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
28 Jul 2010, 2:19 pm
When goods are detained and rejected at the border, destruction, rather than re-exportation, now becomes the default mechanism for U.S. [read post]
28 Jul 2010, 8:48 am
We all knew there was a lot of bad stuff buried in the 2300-odd pages of Dodd Frank, but this is really outrageous: Under a little-noticed provision of the recently passed financial-reform legislation, the Securities and Exchange Commission no longer has to comply with virtually all requests for information releases from the public, including those filed under the Freedom of Information Act. [read post]
27 Jul 2010, 12:54 pm
Today General Electric (GE) settled allegations by the Securities and Exchange Commission that several subsidiaries had paid the Iraqi government to win contracts under the U.N. [read post]
26 Jul 2010, 5:55 am
First came the company’s Freedom of Information Act lawsuit against the Environmental Protection Agency — not something that usually rises to the level of disclosure in a Securities and Exchange Commission filing (though we understand that companies are the biggest users of the act, despite the attention given to news-media FOIA lawsuits). [read post]
23 Jul 2010, 1:40 pm
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
21 Jul 2010, 11:34 pm
Security is just another view of the same problems. [read post]
