Search for: "U. S. Securities and Exchange Commission"
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9 Apr 2018, 12:59 pm
Most notably, Sarbanes-Oxley applies to all “employees” who report misconduct to the Securities and Exchange Commission (SEC or Commission), any other federal agency, Congress, or an internal supervisor. 18 U. [read post]
5 Apr 2018, 12:29 pm
§78u–6(h)(1), includes a person who does not report information to the Securities and Exchange Commission. [read post]
8 Mar 2018, 7:57 am
Securities and Exchange Commission, 17-130, the government persuaded the court that the petitioners in Scott had “failed to raise an Appointments Clause challenge either before the [agency] or before the court of appeals, and neither of those bodies addressed the issue. [read post]
28 Feb 2018, 3:38 pm
Securities and Exchange Commission, 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program, at 4, 6. [read post]
23 Feb 2018, 12:00 am
Sarbanes-Oxley applies to all "employees" who report misconduct to the Securities and Exchange Commission [SEC], any other federal agency, Congress, or an internal supervisor [see 18 U. [read post]
23 Feb 2018, 12:00 am
Sarbanes-Oxley applies to all "employees" who report misconduct to the Securities and Exchange Commission [SEC], any other federal agency, Congress, or an internal supervisor [see 18 U. [read post]
6 Feb 2018, 7:24 am
China Economic and Security Review Commission was created on October 30, 2000 by the Floyd D. [read post]
30 Jan 2018, 7:31 am
-Cuban relations and to move the implementation of the PDCA forward the EU's Federica Mogherini, High Representative of the Union for Foreign Affairs and Security Policy/Vice-President of the Commission, paid an official visit to Cuba in early January 2018 for "talks aimed at implementing the PDCA. [read post]
12 Jan 2018, 11:50 am
Magistrate Judge in the Southern District of Florida held that providing “oral downloads” of otherwise-privileged witness interview notes and memoranda to the Securities and Exchange Commission effectively waived privilege. [read post]
13 Dec 2017, 11:45 am
On December 5, 2017 the Securities and Exchange Commission (“SEC”) awarded more than $4.1 million to a whistleblower for alerting the SEC to a multi-year securities fraud engaged in by his employer. [read post]
6 Dec 2017, 1:19 pm
Time agreed to pay $25,000, $12,500 in advance and an additional $12,500 at publication, in exchange for the right to excerpt 7,500 words from Mr. [read post]
20 Nov 2017, 7:43 am
In October 2007, due to a pending Securities and Exchange Commission insider trading investigation, the husband resigned. [read post]
20 Nov 2017, 7:43 am
In October 2007, due to a pending Securities and Exchange Commission insider trading investigation, the husband resigned. [read post]
9 Nov 2017, 1:40 pm
Buck has also agreed to a monetary settlement with the Securities and Exchange Commission (“SEC”) in the amount of approximately $5 million. [read post]
4 Oct 2017, 8:32 am
Securities and Exchange Commission, Office of Inspector General, Executive Summary, Audit of the SEC’s Management of Its Data Centers, Report No. 543, Sept. 29, 2017 (Redacted for Public Use). [read post]
1 Oct 2017, 3:22 pm
At the federal level, regulators can be clustered in the following areas: Depository regulators—Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), and Federal Reserve for banks; and National Credit Union Administration (NCUA) for credit unions; Securities markets regulators—Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC); Government-sponsored enterprise (GSE)… [read post]
26 Sep 2017, 11:34 am
Securities and Exchange Commission. [read post]
19 Sep 2017, 10:38 am
The group officially holds $28.6 billion offshore.The proliferation of tax haven abuse is exacerbated by lax reporting laws that allow corporations to dictate how, when, and where they disclose foreign subsidiaries, allowing them to continue to take advantage of tax loopholes without attracting governmental or public scrutiny.Consider:-A Citizens for Tax Justice analysis of 27 companies that disclose subsidiary data to both the Securities and Exchange Commission (SEC) and… [read post]
15 Sep 2017, 9:24 am
SEC, that the Securities and Exchange Commission (SEC) ALJs were “inferior Officers” who are subject to the provisions of the U.S. [read post]
8 Sep 2017, 10:59 am
In July of 2017, the Securities and Exchange Commission (SEC) brought an enforcement action against now defunct for-profit college ITT, but no monetary sanctions were ordered. [read post]
