Search for: "U. S. Securities and Exchange Commission"
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3 Jul 2013, 8:15 am
On July 2, 2013, the United States District Court for the District of Columbia (the “Court”) vacated Securities and Exchange Commission (“SEC”) Rule 13q-1 (the “Rule”), which required certain companies to disclose payments made to foreign governments in connection with the commercial development of oil, natural gas or minerals. [read post]
13 Oct 2010, 5:00 am
Yet the enabling statute (Securities Exchange Act of 1934) is frustratingly silent on the issue. [read post]
24 Mar 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
12 Jan 2018, 11:50 am
Magistrate Judge in the Southern District of Florida held that providing “oral downloads” of otherwise-privileged witness interview notes and memoranda to the Securities and Exchange Commission effectively waived privilege. [read post]
6 Mar 2014, 12:28 pm
Securities and Exchange Commission filed related civil fraud charges against the three men and former finance director Frank Canellas, 34, and former controller Thomas Mullikin, 43, for cheating 13 insurers that took part in a $150-million bond offering in 2010.Another defendant, client relations manager Zachary Warren, 29, was also criminally charged.At a press conference, Vance said Dewey’s finance department ran a “blatant accounting fraud and… [read post]
25 Aug 2016, 7:51 am
As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act. [read post]
21 Jun 2007, 1:23 pm
They filed a class action, alleging that Tellabs and petitioner Notebaert, then Tellabs' chief executive officer and president, had engaged in securities fraud in violation of §10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b-5, and that Notebaert was a "controlling person" under the 1934 Act, and therefore derivatively liable for the company's fraudulent acts. [read post]
21 Jun 2007, 1:23 pm
They filed a class action, alleging that Tellabs and petitioner Notebaert, then Tellabs' chief executive officer and president, had engaged in securities fraud in violation of §10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b-5, and that Notebaert was a "controlling person" under the 1934 Act, and therefore derivatively liable for the company's fraudulent acts. [read post]
23 Apr 2018, 2:00 pm
” The State Department also disclosed an exchange of letters between then-U.K. [read post]
9 Oct 2023, 1:59 pm
In addition, on August 4, 2023 the Securities and Exchange Commission (“SEC”) published its final rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure in the Federal Register. [read post]
10 Jul 2014, 9:32 am
The prosecution is the result of an investigation by the Federal Bureau of Investigation, Securities and Exchange Commission, and the Monterey County District Attorney’s Office. [read post]
16 Feb 2015, 2:23 pm
A Little Insight Into CorpFin’s Current Thoughts on Rule 14a-8 Courtesy of Division Director Keith Higgins On Tuesday Keith Higgins, Director of the Securities and Exchange Commission’s Division of Corporation Finance, gave an insightful little talk at PLI’s Program on Corporate Governance entitled “Rule 14a-8: Conflicting Proposals, Conflicting Views“. [read post]
16 Feb 2015, 2:23 pm
A Little Insight Into CorpFin’s Current Thoughts on Rule 14a-8 Courtesy of Division Director Keith Higgins On Tuesday Keith Higgins, Director of the Securities and Exchange Commission’s Division of Corporation Finance, gave an insightful little talk at PLI’s Program on Corporate Governance entitled “Rule 14a-8: Conflicting Proposals, Conflicting Views“. [read post]
16 Feb 2015, 2:23 pm
A Little Insight Into CorpFin’s Current Thoughts on Rule 14a-8 Courtesy of Division Director Keith Higgins On Tuesday Keith Higgins, Director of the Securities and Exchange Commission’s Division of Corporation Finance, gave an insightful little talk at PLI’s Program on Corporate Governance entitled “Rule 14a-8: Conflicting Proposals, Conflicting Views“. [read post]
10 Jan 2022, 5:52 am
Securities and Exchange Commission (the “SEC”). [read post]
10 Feb 2014, 9:28 pm
The Securities and Exchange Commission, for example, would never mandate or likely countenance that an investor’s counsel represent the interests of an issuer of securities, or vice-versa. [read post]
10 Apr 2016, 9:17 pm
” … New York’s and California’s attorneys general have investigated Exxon for making donations to think tanks like the American Enterprise Institute and lobbying groups like the American Legislative Exchange Council. [read post]
10 Jun 2011, 4:50 pm
EPJ Fund alleges that Halliburton made various misrepresentations designed to inflate the company’s stock price, in violation of §10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b–5. [read post]
19 Apr 2010, 5:11 pm
See Securities and Exchange Commission v. [read post]
17 Jun 2019, 4:00 am
Securities Exchange Commission (“SEC”) adopted its long-awaited Regulation Best Interest: The Broker-Dealer Standard of Conduct (the “Best Interest Regulation”). [read post]
