Search for: "In Re Securities and Exchange Commission"
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20 May 2009, 12:51 am
A report by the receiver in Securities and Exchange Commission v. [read post]
18 May 2009, 1:34 pm
The first would be similar to the Commission's proposal from 2003, and would write an access method directly into the securities laws. [read post]
18 May 2009, 1:01 pm
" "A legitimate securities salesperson must be properly licensed and his or her firm must be registered with FINRA, the Securities and Exchange Commission, or a state securities regulator - depending on the type of business the firm conducts. [read post]
18 May 2009, 1:21 am
SEC Lawyers Accused of Possible Insider Trading
The National Law Journal
Just as Bernie Madoff seemed to be gracing fewer front pages, the Securities and Exchange Commission's inspector general dealt another blow to the agency's lawyers. [read post]
17 May 2009, 8:48 pm
The Renewable Electricity Standard (RES) and Energy Efficiency Resource Standard (EERS) have been combined into one. [read post]
17 May 2009, 11:57 am
Where shanty towns coexist with country clubs, peace cannot be lasting or secure. [read post]
15 May 2009, 6:05 pm
In the Irony Can Be Pretty Ironic Category Two enforcement lawyers at the Securities and Exchange Commission are being investigated by federal prosecutors and the FBI for possible insider-trading violations, according to a report from the SEC's inspector general. [read post]
7 May 2009, 7:41 pm
Brewer-Hay's spontaneous, informal style.[...]Blogs and tweets can run afoul of Securities and Exchange Commission regulations on corporate communications. [read post]
7 May 2009, 2:17 pm
Give the Securities and Exchange Commission and its new chairman, Mary Schapiro, credit where it is due. [read post]
4 May 2009, 4:29 am
Byrne's chat board post was later removed and re-posted with his name attached to it, after I complained to the SEC. [read post]
1 May 2009, 12:49 pm
Securities and Exchange Commission. [read post]
1 May 2009, 8:25 am
Securities and Exchange Commission. [read post]
1 May 2009, 1:47 am
"
FEDERAL DECISIONS:
Securities and Exchange Commission v. [read post]
30 Apr 2009, 1:08 am
SEC: Lawyer Traded on Client Information
The National Law Journal
An Oklahoma attorney has agreed to pay double the $80,000 in losses he allegedly avoided by selling shares in an energy firm days after receiving confidential information about the company from his client, the Securities and Exchange Commission announced on Tuesday. [read post]
28 Apr 2009, 12:45 am
Securities and Exchange Commission and the U.S. [read post]
24 Apr 2009, 3:47 am
Equal Employment Opportunity Commission (EEOC) in 2004. [read post]
23 Apr 2009, 3:23 pm
Why treat the security of your financial portfolio any differently? [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
22 Apr 2009, 1:54 pm
Securities and Exchange Commission accusing him and 11 others of defrauding more than 600 investors of more than $28 million in a Ponzi scheme. [read post]
16 Apr 2009, 1:44 pm
" He has sued Gary Weiss, the Securities and Exchange Commission, and Yahoo claiming among other things delusional criminal conspiracies singling out Jews, in particular. [read post]
