Search for: "In Re Securities and Exchange Commission"
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22 Mar 2010, 9:02 pm
David Stawick Secretary Commodity Futures Trading Commission 1155 21st Street, NW Washington, DC 20581 Re: Request for Comment on Proposed Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries Dear Mr. [read post]
22 Mar 2010, 1:30 pm
In the exchange below, Kampfner talks to Jameel Jaffer, the director of the ACLU National Security Project. [read post]
19 Mar 2010, 9:58 am
By selling privately to high net worth investors, promoters avoid having to register the securities with the Securities and Exchange Commission, and the regulatory scrutiny that would come with registration. [read post]
19 Mar 2010, 8:00 am
For more on the entire system of beneficial ownership and the role of the depositories, see The Shareholder Communication Rules and the Securities and Exchange Commission: An Exercise in Regulatory Utility or Futility? [read post]
18 Mar 2010, 5:00 am
For more on the entire system of beneficial ownership and the role of the depositories, see The Shareholder Communication Rules and the Securities and Exchange Commission: An Exercise in Regulatory Utility or Futility? [read post]
17 Mar 2010, 12:49 am
(More details can be found in my Open Letter to the Securities and Exchange Commission here). [read post]
16 Mar 2010, 7:30 am
Look no further than Vinod Gupta, who, yesterday evening, became the Securities and Exchange Commission’s poster child for perks run amok. [read post]
16 Mar 2010, 7:21 am
Separate civil charges by the Securities and Exchange Commission are pending. [read post]
15 Mar 2010, 9:40 am
-Japanese security agreements was “no big deal. [read post]
15 Mar 2010, 3:06 am
Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. [read post]
14 Mar 2010, 6:06 pm
A second point we would make: Once Congress decided that class action securities lawsuits were not the best way to enforce shareholders’ interests (not to mention honest business dealings), it became incumbent on the Securities and Exchange Commission to be ever-more vigilant against fraud. [read post]
14 Mar 2010, 8:25 am
After months of deliberation and consideration of several alternatives, the Securities and Exchange Commission (the “SEC” or “Commission”) announced on February 24, 2010 the adoption of a new short sale rule — Rule 201 of Regulation SHO (the “Rule” or “Rule 201”). [read post]
12 Mar 2010, 12:52 pm
" According to Reuters, “Toyota also faces a probe by the Securities and Exchange Commission and a criminal investigation by federal prosecutors. [read post]
12 Mar 2010, 6:06 am
For example, did the board re-nominate a director or continue to have the CEO serve as Chairman because he is well liked by management or the board? [read post]
10 Mar 2010, 6:40 am
“We intend to use every available means to shut down this illicit operation,’’ Harbeck said.The US Securities and Exchange Commission issued a statement about the group’s posing as an international branch of the SIPC. [read post]
9 Mar 2010, 3:52 pm
Solow, the Securities and Exchange Commission ("SEC") charged Jamie Solow, a stock broker, with a fraudulent trading scheme involving inverse floating rate collateralized mortgage obligations. [read post]
4 Mar 2010, 8:36 am
The exchanges with airport operator BAA were requested by a Conservative MP under the Freedom Of Information Act, who said she then spotted gaps. [read post]
4 Mar 2010, 6:09 am
In 1958, Joseph Livingston surveyed the lot of the shareholder in this reformed world — a world of SEC regulation, extensive disclosure requirements, elaborate proxy machinery, Stock Exchange self-discipline, corporate Good Citizenship, People’s Capitalism, and Corporate Democracy. [read post]
3 Mar 2010, 10:41 am
The staff of the Securities and Exchange Commission is allowing companies to omit a new AFL-CIO proposal that seeks to bar current or former CEOs from serving on the compensation committee. [read post]
2 Mar 2010, 8:12 am
They’re poisoned by lawyers. [read post]
