Search for: "In Re Securities and Exchange Commission"
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4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
3 Dec 2008, 9:52 pm
(NASDAQ: BRCM) fired Senior Vice President Vahid Manian after a background report issued by Barry Minkow, co-founder of the Fraud Discovery Institute, uncovered him using phony educational credentials in filings with the Securities and Exchange Commission. [read post]
30 Nov 2008, 6:26 pm
The carrier relied on Endorsement No. 3 to the policy, which provides that: In consideration of the premium charged, this Policy does not apply to any Claim based on, arising out of, directly or indirectly resulting from, in consequence of, or in any way involving any actual or alleged violation of: (1) the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, any other federal law, rule or regulation with… [read post]
26 Nov 2008, 2:00 pm
ENVIRONMENTAL Federal Judge to Auto Industry: You're Outta Here! [read post]
25 Nov 2008, 9:46 pm
To facilitate the administration of preneed contracts and trusts, the Securities and Exchange Commission has issued a series of “No Action Letters” regarding the preneed contract or the preneed master trust. [read post]
23 Nov 2008, 11:38 pm
Lynn Turner, a former chief accountant with the Securities and Exchange Commission, said the bank's balkanized culture and pell-mell management made problems inevitable. [read post]
23 Nov 2008, 4:54 am
In January 2008, the Securities and Exchange Commission discovered that Overstock.com's revenue accounting failed to comply with Generally Accepted Accounting Principles (GAAP), since the company's inception. [read post]
22 Nov 2008, 4:28 pm
The '33 Act and the Securities Exchange Act of 1934, which regulates securities exchanges and provides for periodic disclosure to investors, form an interlocking regulatory structure built on, "[…] a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, and so long as they hold… [read post]
20 Nov 2008, 10:00 am
We’ve told you a bit already about the Securities and Exchange Commission’s case against Dallas Mavericks owner Mark Cuban (pictured, right). [read post]
19 Nov 2008, 9:52 pm
For those of you anxious to sink your teeth into the delicious prose of the Security and Exchange Commission, the complete manual is available here. [read post]
19 Nov 2008, 6:33 pm
We’ve told you a bit already about the Securities and Exchange Commission’s case against Dallas Mavericks owner Mark Cuban (pictured, right). [read post]
12 Nov 2008, 4:09 pm
On Monday, November 10, 2008, Forest Laboratories, Inc. filed a quarterly report with the Securities and Exchange Commission, revealing that it had agreed in principle to a settlement amounting to $65 million in In re: Forest Laboratories, Inc. [read post]
6 Nov 2008, 4:58 am
. _________________ November 5, 2008 Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: File No. [read post]
3 Nov 2008, 8:47 pm
Four former executives of General Re Corp. and a former executive of AIG were convicted in February of conspiracy, securities fraud, mail fraud and making false statements to the Securities and Exchange Commission. [read post]
2 Nov 2008, 5:36 pm
Earlier this year, the Securities and Exchange Commission discovered that Overstock.com did not report revenues in compliance with GAAP, since its inception. [read post]
27 Oct 2008, 9:26 am
Do you think you're entitled to money or might be entitled to money from an estate or trust? [read post]
26 Oct 2008, 5:58 am
"A History of Accounting Errors Earlier this year, the Securities and Exchange Commission Division of Corporation Finance uncovered revenue accounting errors by Overstock.com dating back to the company's inception. [read post]
23 Oct 2008, 6:42 pm
In a typical RMBS deal, for example, a mortgage originator or REIT will package and sell a large pool of mortgages to a special-purpose trust, which in turn (with the assistance of an underwriter) registers with the Securities and Exchange Commission to offer interest-bearing notes in various tranches, representing rights to the cash flow generated by the underlying mortgage pool. [read post]
15 Oct 2008, 2:11 pm
Even though I worked at the Securities and Exchange Commission for a number of years, trying to explain things like derivatives was never my strong suit. [read post]
