Search for: "WSJ Staff"
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9 Jun 2009, 12:21 pm
Courtesy of the WSJ: These are unprecedented times in the wealth-management industry. [read post]
2 Apr 2009, 9:19 am
A special court would provide expedited proceedings with knowledgeable staff that would work to settle claims quickly. [read post]
24 Jun 2014, 7:18 am
New “Florida Family Trust Company Act”: As reported here by the WSJ, increasingly the über wealthy are setting up family-owned trust companies to handle their trust assets. [read post]
10 Oct 2008, 6:33 pm
The redacted version issued to the public deletes many references to the actions of the staff, creating the appearance that the Commission is trying to minimize its role. [read post]
16 Apr 2012, 4:05 am
This WSJ article notes that at least two companies have already sent confidential registration statement submissions to Corp Fin... [read post]
19 May 2011, 10:42 am
The judge has maintained his near-perfect record despite years of complaints from other judges and staff members, who say he awards benefits too generously, according to WSJ. [read post]
15 Dec 2011, 5:26 am
On a collision course: The SEC’s enforcement staff is expected to recommend to the five-person commission leading the agency that it vote to appeal last month’s rejection by U.S. [read post]
26 Aug 2010, 3:00 pm
Have a “tax staff” that goes around collecting the additional 7 or 8 cents from any customer who (wittingly or no) defies the carry out rule? [read post]
18 Sep 2008, 2:26 pm
Prepared by the staffs of the Division of Investment Management and the Division of Corporation Finance, the new rule will be designed to ensure transparency in short selling. [read post]
19 Mar 2010, 3:12 pm
Research will have its own dedicated legal and compliance staff, who may be a part of the firm's overall compliance/legal infrastructure 5. [read post]
12 Oct 2010, 5:00 am
MORE: The WSJ reports Rep. [read post]
8 Mar 2016, 3:05 am
SEC rules require a three-person quorum for the agency to pass a regulation, bring a civil lawsuit, or take virtually any other action not delegated to staff. [read post]
6 Mar 2009, 8:00 am
The Federal Trade Commission settled with Whole Foods over the organic grocer's acquisition of rival Wild Oats, according to the WSJ. [read post]
18 Nov 2011, 5:19 am
WSJ Newt Gingrich, counsel to the U.S. [read post]
20 Mar 2012, 5:35 am
Afghan killings: The Seattle criminal lawyer representing Staff Sgt. [read post]
9 Jun 2010, 7:12 am
Staff picks are marked by asterisks. [read post]
19 Nov 2008, 6:33 pm
” Later in 2007, WSJ reports, when the SEC staff was set to recommend filing civil fraud charges against Cuban, Cox didn’t want to take up the case in part because of the email exchanges. [read post]
20 Nov 2008, 10:00 am
” Later in 2007, WSJ reports, when the SEC staff was set to recommend filing civil fraud charges against Cuban, Cox didn’t want to take up the case in part because of the email exchanges. [read post]
12 Mar 2009, 6:37 am
The staff was split 50/50. [read post]
7 Feb 2017, 4:29 am
Yesterday, Acting SEC Chair Mike Piwowar issued yet another statement directing the Corp Fin Staff to revisit another set of existing rules – the pay-ratio disclosure rules. [read post]
