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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]
11 Sep 2012, 12:52 pm
Securities and Exchange Commission, where he was chief counsel of the agency's enforcement division. [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]
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]
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]
5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
3 Nov 2015, 10:30 am
On October 30, 2015, the United States Securities and Exchange Commission (“SEC”) moved forward in implementing Title III of the JOBS Act and adopted new rules permitting companies to offer and sell securities to all potential investors through crowdfunding. [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]
21 Aug 2019, 11:43 am
Securities and Exchange Commission. [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]
11 Oct 2016, 2:00 pm
On September 26th, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint for Injunctive and Other Relief against Craig V. [read post]
16 Dec 2024, 9:01 pm
Securities and Exchange Commission. [read post]
26 Jul 2012, 11:40 am
Securities and Exchange Commission ("SEC"), SEC investigators intend to recommend that the SEC bring civil charges against the City of Miami for alleged violations of the Securities Acts of 1933 and the Exchange Act of 1934. [read post]
22 Jun 2023, 9:01 pm
Securities and Exchange Commission, before the SEC’s Investor Advisory Committee in Washington, D.C. [read post]
2 Jul 2022, 8:00 am
SEC Alleges Western International Securities and Its California Financial Advisors Committed Due Diligence Failures The US Securities and Exchange Commission (SEC) has filed civil charges against Western International Securities and several of its registered representatives. [read post]
27 Jul 2012, 6:12 am
Securities and Exchange Commission. [read post]
15 Apr 2014, 11:59 am
On April 9, 2014, the Securities and Exchange Commission announced that Hewlett-Packard had agreed to pay more than $108 million to settle Foreign Corrupt Practices Act actions brought by the SEC and the Department of Justice. [read post]
21 Jul 2014, 6:11 am
Securities and Exchange Commission. [read post]
6 Jul 2017, 3:34 am
The Securities and Exchange Commission's guide to better FOIA appealsBeryl Lipton, MuckRock, July 5, 2017Way back in March, we awarded the title of FOIA March Madness Champion to the Securities and Exchange Commission (SEC) for their swift response to this year’s tournament. [read post]
