Search for: "In Re Securities and Exchange Commission"
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13 Jan 2010, 8:11 pm
The most recent version of their statement was included in a 10-Q filed with the Securities and Exchange Commission on November 9, 2009: An Independent Committee of the Board of Directors of Medifast was constituted to review the public allegations of a third party “Convicted Felon” on his website. [read post]
13 Jan 2010, 4:19 pm
You can read the text of the Fed's guidance in the Federal Register here.The Securities and Exchange Commission ("SEC")In an effort to better enable investors trying to identify the internal risk assumption and reward of a company, the SEC has adopted amendments regarding the disclosure of all employees' compensation. [read post]
13 Jan 2010, 12:01 pm
After the news conference announcing the Rearrangement of its Enforcement Program, the Securities and Exchange Commission offered a group of bloggers the chance to ask questions to Robert Khuzami, the Director of Enforcement. [read post]
12 Jan 2010, 1:02 pm
Barnier will re-examine the MiFID Directive. [read post]
12 Jan 2010, 10:22 am
The company has made a formal complaint to the United States Securities and Exchange Commission and the Maryland Securities Commissioner. [read post]
12 Jan 2010, 6:31 am
But the sad fact is that our regulators have become increasingly somnolent in recent years, with the Securities and Exchange Commission and prosecutors bringing far fewer cases during the Bush administration than they did in years past. [read post]
8 Jan 2010, 7:46 am
Mozilo was indicted for fraud: The Securities and Exchange Commission announced on Thursday [June 4, 2009 - Ed.] it has filed civil-fraud charges against former Countrywide Financial CEO Angelo Mozilo in what would be the highest-profile government legal action against a chief executive that has arisen so far from the financial crisis. [read post]
7 Jan 2010, 11:00 am
In addition, the Governor proposed a bold initiative to revive the New York Insurance Exchange that would bring buyers and sellers of complex commercial insurance closer together, providing increased transparency and security for everyone in the process. [read post]
7 Jan 2010, 6:19 am
Rodgin Cohen is a partner and chairman of Sullivan & Cromwell LLP focusing on acquisition, corporate governance, regulatory and securities law matters. [read post]
3 Jan 2010, 8:25 am
Overstock.com didn't want to do that, and promptly fired Grant Thornton and filed an unreviewed 10-Q with the Securities and Exchange Commission. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
30 Dec 2009, 1:10 pm
Somers On December 14, 2009, the Securities and Exchange Commission re-opened for 30 additional days the comment period for its proposed proxy access rules. [read post]
29 Dec 2009, 5:20 pm
11/22/09: Open Letter to the Securities and Exchange Commission Part 2: New Information on Overstock.com's GAAP and SEC Disclosure Violations 11/23/09: Open Letter to the Securities and Exchange Commission Part 3: Overstock.com Lied About Grant Thornton and Concealed Error 11/26/09: Open Letter to the Securities and Exchange Commission Part 4: Patrick Byrne Ignores Real Issues As He Vilifies Grant Thornton… [read post]
29 Dec 2009, 10:56 am
Congress Should Rewrite the Securities Exchange Act of 1934 94 Accounting and Administrative Law Aspects of Gerstle v. [read post]
25 Dec 2009, 7:36 am
King, 63, has been charged by the Securities and Exchange Commission (SEC) with taking bribes to ignore wrong doing in relation to the alleged Ponzi scheme. [read post]
24 Dec 2009, 6:31 am
In doing so, the author discusses the conduct of the major regulators, including the Securities and Exchange Commission (SEC), which he does not spare from criticism. [read post]
22 Dec 2009, 1:42 pm
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
22 Dec 2009, 5:30 am
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
21 Dec 2009, 9:12 am
Diamond for the Eastern District of Pennsylvania raised serious questions in the case of the Securities and Exchange Commission (“SEC”) et. al. v. [read post]
21 Dec 2009, 6:45 am
At an open meeting held on December 16, 2009, the Securities and Exchange Commission (”SEC”) approved a set of proposed rules to enhance the information provided to shareholders in company proxy statements regarding a number of risk oversight, compensation, board leadership and composition and other corporate governance matters. [read post]
