Search for: "In Re Securities and Exchange Commission"
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28 Apr 2009, 12:45 am
Securities and Exchange Commission and the U.S. [read post]
14 Mar 2012, 3:29 pm
Introduction FINRA Rule 6490 was approved by the Securities and Exchange Commission on July 1, 2010, with the stated purposes of adopting rules to prevent fraudulent and manipulative acts and practices, promote just and equitable principles of trade and protect investors and the public interest. [read post]
13 Dec 2010, 10:39 am
Goyal concealed the allegedly improper accounting from NAI’s outside auditors and filed reports with the Securities and Exchange Commission that, because of NAI’s accounting, allegedly misstated revenue in certain reporting periods between 1998 and 2000. [read post]
2 Feb 2024, 11:46 am
The term “golden visa” is an unofficial one, used to refer to visas that offer residence in exchange for making a substantial investment in a given country. [read post]
28 Jul 2009, 5:36 pm
Lindsey backdated his resignation (Details here).In January 2008, the Securities and Exchange Commission discovered that Overstock.com's revenue accounting failed to comply with GAAP and SEC disclosure rules, from the company's inception (Details here). [read post]
11 Aug 2023, 4:00 am
“You’re too honest,” Trump berated Pence as he refused to go along with the election plot, according to the indictment. [read post]
10 May 2011, 9:00 am
Ratifications were exchanged on December 5, 1963. [read post]
13 Oct 2023, 4:00 am
They’re Now Facing a Possible Collapse. [read post]
16 Jul 2020, 9:23 am
They said that commercial applications of the prototype include cross-border payments in multiple currencies, foreign currency exchange, and settlement of foreign currency denominated securities as well as other use cases. [read post]
4 Oct 2021, 1:41 pm
So, they’re acting on their fiduciary responsibility. [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]
24 Sep 2018, 6:24 am
In Proceedings of the 27th USENIX Conference on Security Symposium (pp. 1353-1370). [read post]
19 Nov 2020, 9:05 pm
Securities and Exchange Commission (SEC) Chairman Jay Clayton announced that he would leave his position at the end of 2020, with 18 months left in his term. [read post]
18 Nov 2015, 11:59 pm
. ********************************** The regulatory environment for SEC-registered advisers has become more complex as the result of a more aggressive and interconnected Securities and Exchange Commission (SEC). [read post]
23 Feb 2010, 12:47 am
Leverage, Inaccessibility for Smaller Traders, and Offshore Threat are Focus of Public Comments As we’ve discussed in related posts, the CFTC has proposed rules regulating the off-exchange spot forex industry (see Retail FOREX Registration Regulations Proposed). [read post]
24 Aug 2007, 1:01 am
The lawsuits follow the company's disclosures earlier this year to the Securities and Exchange Commission that it was looking into its stock options granting practices for its executives. [read post]
23 Oct 2020, 1:48 am
These risks have translated into action by regulators and enforcement agencies for example, Eni recently entered into a c.US$25m settlement with the Securities and Exchange Commission (SEC) under the accounting provisions of the Foreign Corrupt Practices Act (FCPA) in relation to the actions of its 43 per cent owned JV (Saipem) (see here). [read post]
29 Aug 2016, 5:00 am
Marital Property Division If you’re going through a divorce, you’ll want to do everything you can to protect yourself financially. [read post]
9 Sep 2010, 1:13 am
SEC Judge Finds Investment Bank GC Was Not Negligent in Supervising Rogue Broker The National Law Journal The former general counsel of investment bank Ferris, Baker Watts appears to be off the hook after a Securities and Exchange Commission administrative law judge ruled Wednesday that he did not fail to reasonably supervise a rogue broker. [read post]
9 Aug 2021, 2:02 am
Are companies securing unwarranted monopoly power by raising barriers to litigating the validity of their patents? [read post]
