Search for: "In Re Securities and Exchange Commission"
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21 Oct 2009, 10:25 am
SEC enforcement action for lax information security after data breach involving independent registered representatives Sidley Austin LLP The Securities and Exchange Commission (SEC) has issued another indication that they are serious about information security. [read post]
19 Oct 2009, 1:24 am
., have accused former Nixon Peabody associate Melissa Mahler, who was hit with civil insider trading charges by the Securities and Exchange Commission last month, of making false statements to SEC investigators. [read post]
14 Oct 2009, 1:42 am
SEC Broadens Inquiry Into Bank of America's Merger With Merrill
Corporate Counsel
The Securities and Exchange Commission is broadening its inquiry into the merger of Bank of America and Merrill Lynch. [read post]
13 Oct 2009, 4:00 am
Wal-Mart commissioned the probe from security auditors at CyberTrust as part of its efforts to become compliant with Payment Card Industry (PCI) security standards that were established in 2001. [read post]
12 Oct 2009, 7:43 am
Introduction The decision of Judge Jed Rakoff in the settlement agreement between Bank of America (“BofA”) and the Securities and Exchange Commission (“SEC”) is one that could strike fear in the hearts of corporate attorneys everywhere. [read post]
11 Oct 2009, 3:47 pm
UT Law Spring 2010 coastal courses: Climate Change Law & PolicyClass Unique #: 28633 Course #: 179M Instructor: Benjamin/Gholz Credits: 1Wednesday 5:30 pm - 7:30 pm Friday 1:30 pm - 4:30 pm Exam type: Early CLASS MEETS JANUARY 20-FEBRUARY 5.What the course is about. [read post]
8 Oct 2009, 8:55 pm
He has to make key decisions within the next weeks, before issuing his Q3 2009 financial reports, on how to handle certain financial reporting violations uncovered by this blog and now being investigated the Securities and Exchange Commission. [read post]
6 Oct 2009, 5:23 pm
Based on my forensic accounting analysis, the Securities and Exchange Commission took the very usual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
29 Sep 2009, 6:19 am
Beginning in 2010, under a rule change adopted by the New York Stock Exchange and approved by the Securities and Exchange Commission, discretionary voting by brokers of shares where they have not received voting instructions from shareowners will no longer be allowed in director elections. [read post]
26 Sep 2009, 1:05 pm
NFA is invoking the "ten-day" provision of Section 17(j) of the Commodity Exchange Act ("CEA") and will make these proposals effective ten days after receipt of this submission by the Commission unless the Commission notifies NFA that the Commission has determined to review the proposals for approval. [read post]
25 Sep 2009, 7:54 am
Securities and Exchange Commission staff made it clear that they believe that they have ample evidence of price-fixing and bid-rigging of municipal derivatives by JP Morgan, Bear Stearns Cos., Bank of America NA and UBS. [read post]
25 Sep 2009, 4:00 am
Last week, the Delaware State Bar Association sent an unprecedented comment to the Securities and Exchange Commission arguing for maintaining the primacy of Delaware law, especially in light of recent amendments to the Delaware General Corporation Law and the “significant equitable limitations on the power of the board of directors to frustrate stockholder electoral efforts. [read post]
21 Sep 2009, 7:29 pm
Last week, the Securities and Exchange Commission Enforcement Division took the unusual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
14 Sep 2009, 9:48 pm
Judge Rakoff refused to approve a $33 million deal that would have settled a lawsuit filed by the Securities and Exchange Commission against the Bank of America. [read post]
14 Sep 2009, 6:44 am
In June the Treasury Department called on the Securities and Exchange Commission to look at whether investors should have the option of going to court. [read post]
13 Sep 2009, 7:24 pm
Cayman Res. [read post]
13 Sep 2009, 4:31 am
Securities and Exchange Commission Washington, D.C. [read post]
3 Sep 2009, 1:24 am
Court-appointed receiver Ralph Janvey escalated the rhetoric in his unusual public battle over attorney fees with the Securities and Exchange Commission in court papers filed Tuesday evening. [read post]
27 Aug 2009, 7:35 am
" The Securities and Exchange Commission reached the settlement with the bank last month. [read post]
21 Aug 2009, 7:53 am
Securities and Exchange Commission re-opened the comment period on its proposals respecting short sales first published in April. [read post]
