Search for: "In Re Securities and Exchange Commission"
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21 Dec 2009, 3:58 am
Samueli with lying to the Securities and Exchange Commission in its investigation of whether Broadcom misstated its earnings by improperly accounting for executive stock options. [read post]
20 Dec 2009, 6:09 pm
Samueli with lying to the Securities and Exchange Commission in its investigation of whether Broadcom misstated its earnings by improperly accounting for executive stock options. [read post]
17 Dec 2009, 6:33 am
The Securities and Exchange Commission recently proposed disclosure rules that would require discussion in proxy statements of the board’s role in overseeing and managing risk and the relationship between a company’s overall employee compensation policies and risk management. [read post]
17 Dec 2009, 4:00 am
November 1, 1974 - "We're Moving Right Along," Herblock, Copyright by The Herb Block Foundation The Securities and Exchange Commission Historical Society has launched a new gallery exploring the SEC during the mid to late 1970s: In the Midst of Revolution: The SEC, 1973-1981. [read post]
14 Dec 2009, 12:57 am
To the Securities and Exchange Commission: Last week Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
12 Dec 2009, 6:14 pm
Another option would be for the creditor to purchase the spouse’s joint interest, and then re-sell the property. [read post]
11 Dec 2009, 10:26 am
" Cohodes also noted, "I have and will urge the Securities and Exchange Commission and Congress to investigate the damage done to individual investors and the market system as a whole as a result of issuer retaliation - issuers who attack critics rather than attacking the problems on their balance sheets. [read post]
11 Dec 2009, 4:56 am
However, e-STOP is not tailored to restrict only â€" or even primarily â€" speech that may be related to the commission of such crimes. [read post]
10 Dec 2009, 6:09 am
" In addition, if a credit rating is used in connection with a Rule 144A offering or other private placement and the privately-offered securities are exchanged shortly thereafter for substantially identical registered securities (i.e. , an "Exxon Capital" or "A/B" exchange offer), the rating would need to be disclosed in the exchange-offer registration statement even if the rating is not otherwise used in connection with that… [read post]
7 Dec 2009, 5:42 pm
A long awaited lawsuit from the Securities and Exchange Commission against former executives from mortgage giant New Century arrived Monday. [read post]
7 Dec 2009, 12:43 pm
The appellate court concluded that (1) short selling was squarely within the heartland of the securities business and (2) the Securities Exchange Commission not only had authority to regulate the role of the prime brokers in short selling and the borrowing fees charged by prime brokers under Sec. 10(a) of the Securities Exchange Act of 1934, but the agency exercised its authority to regulate the role of the prime brokers in short selling. [read post]
7 Dec 2009, 7:43 am
The appellate panel found that the Commission had sufficient regulatory authority under Exchange Act Section 10(a). [read post]
7 Dec 2009, 7:34 am
For the respondents, one of their amici: Professor Richard Pildes, New York University Law School (counsel for the amicus Former Chairmen of the Securities and Exchange Commission). [read post]
6 Dec 2009, 7:50 am
Broc Romanek provides coverage of corporate governance issues and the Securities and Exchange Commission. [read post]
6 Dec 2009, 7:50 am
Broc Romanek provides coverage of corporate governance issues and the Securities and Exchange Commission. [read post]
4 Dec 2009, 9:06 am
The plan would also require such funds to provide information to the Securities & Exchange Commission on a confidential basis regarding their size, borrowings, off balance sheet exposure and interdependence with other financial institutions. [read post]
2 Dec 2009, 5:22 am
CLST Holdings (CLHI) revealed in a recent 8-K filing that it had received a subpoena from the Division of Enforcement of the Securities and Exchange Commission (SEC) in connection to financial dealings between it and Fair Finance, the Ohio-based consumer finance firm owned by Timothy Durham and the same company that is the subject of an ongoing federal probe. [read post]
29 Nov 2009, 3:57 pm
Knowing this possibility may hinder the Attorney-Client relationships because the company may be afraid to disclose certain conversations regarding, for instance, the company’s questionable antitrust and securities activities to the Department of Justice (DOJ) for fear that the DOJ will pass along the information to the Securities and Exchange Commission (SEC). [read post]
27 Nov 2009, 11:03 am
On Dec. 15, 2008, the Securities and Exchange Commission (SEC) charged National Lampoon CEO Daniel Laikin and others of engaging in fraudulent schemes to manipulate the market by generating purchases of company stock in exchange for pre-arranged cash kickbacks. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
