Search for: "In Re Securities and Exchange Commission"
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6 May 2010, 11:18 am
Dennis Berman of the WSJ explains: The Securities and Exchange Commission is examining the disclosures Berkshire Hathaway Inc. made about its $26 billion purchase of Burlington Northern Santa Fe Corp. railroad, said people familiar with the matter. [read post]
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]
28 Sep 2015, 3:48 am
Securities and Exchange Commission v. [read post]
24 Oct 2011, 5:54 am
Because it didn’t come from the Federal Trade Commission, a Canadian Privacy Commissioner or a European Data Protection Authority – it came from the Securities and Exchange Commission (“SEC”). [read post]
8 Jul 2014, 9:00 am
By Matthew Hafter With the Securities and Exchange Commission’s attention again returning to cybersecurity issues, many registrants are recalling the Commission’s intense focus on “Year 2000” issues over a decade ago. [read post]
8 Mar 2007, 4:55 pm
You and the Securities and Exchange Commission, that is. [read post]
10 Jan 2022, 8:26 am
Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation’s securities laws. [read post]
11 Oct 2021, 9:06 am
As the Commission held in In Re KBR. [read post]
29 Sep 2008, 8:21 pm
On November 28, 2007, the Securities and Exchange Commission voted to adopt an amendment to Rule 14a-8(i)(8), codifying the commission's long-standing interpretation that a company may exclude from its proxy materials shareholder proposals relating to making or opposing a director nomination or to setting up a process that would allow shareholders to conduct an election contest in the future by requiring the company to include director nominations from… [read post]
20 May 2022, 6:29 am
The Securities and Exchange Commission (SEC) rules make it clear that, of course, a false statement does suffice, but the law does not require that someone affirmatively says a falsehood to commit securities fraud. [read post]
2 Aug 2021, 5:56 am
It’s been less than a year since a new disclosure rule by the Securities and Exchange Commission (SEC) took effect, which required companies to provide additional detail in their 10-K reports around their human capital management (HCM). [read post]
25 Jan 2021, 7:36 pm
Over the past decade, “restatement” is the word companies have most strenuously tried to avoid in the text of their filings with the Securities and Exchange Commission, according to an upcoming paper by academics at Georgia State University’s J. [read post]
16 Apr 2012, 12:57 pm
Speaking at the Rocky Mountain Securities Conference in Colorado a few days ago, Securities and Exchange Commission Chairman Daniel Gallagher said that the imposition of an industry-wide bar, which is authorized under Section 925 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, shouldn’t be applied to misconduct that happened before the financial reform statute was enacted. [read post]
30 Oct 2024, 2:08 pm
If you have knowledge of a Ponzi scheme or other investment fraud, you may be able to help stop the fraud and earn financial compensation for yourself by submitting a whistleblower tip to the Securities and Exchange Commission (SEC). [read post]
20 Sep 2018, 6:02 am
SEC Takes Down Ponzi-Like Operation Involving 230 InvestorsThe SEC (Securities Exchange Commission) announced today that it has obtained a court order to shut down a major investment operation worth approximately $345 million. [read post]
16 Jun 2022, 2:07 pm
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
11 Jul 2024, 6:12 am
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
18 May 2010, 1:38 pm
The Securities and Exchange Commission (SEC) brought civil fraud charges against Goldman in what may turn out to be one of the biggest cases in securities law. [read post]
6 Aug 2015, 1:59 pm
, In re Paradigm Capital Management, and we certainly expect to see more such cases brought by the Commission in the near future. [read post]
7 Oct 2021, 1:46 pm
The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrency into their scams. [read post]
