Search for: "In Re Securities and Exchange Commission"
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30 Mar 2007, 9:36 am
However, some business groups argue that investors and lawmakers should wait and see how companies respond to the new executive pay disclosure rules issued by the Securities and Exchange Commission last year. [read post]
27 Mar 2007, 8:06 am
Morgan Stanley, Goldman Sachs, Barclays Capital and Deutsche Bank own about 16% of the company, according to securities filings. [read post]
26 Mar 2007, 1:10 pm
The problem is "there's no transparency -- you're reliant on your broker to shop your policy around," says Mary Schapiro, chairman of the National Association of Securities Dealers, which published an "Investor Alert" on life settlements last month (available at nasd.com). [read post]
26 Mar 2007, 7:42 am
Profile of a cliff; falling off same The California company said in a filing with the Securities and Exchange Commission yesterday that all of its lenders have either pulled its funding or have said they will do so. [read post]
23 Mar 2007, 1:42 pm
In the video, Cramer candidly describes various means of illegal manipulation of stock prices, noting "the Securities and Exchange Commission doesn't get it" and asking "Who cares about the fundamentals? [read post]
23 Mar 2007, 10:58 am
Securities and Exchange Commission (SEC). [read post]
21 Mar 2007, 2:51 am
., --- F.3d ----, 2007 WL 816518 (Mar. 19, 2007):Section 10(b) [of the Securities Exchange Act] does not give rise to aiding and abetting liability. [read post]
20 Mar 2007, 8:48 pm
Securities and Exchange Commission, we’ll be dancing in the streets. [read post]
19 Mar 2007, 8:44 am
The risks and uncertainties that may affect forward-looking statements include, among others, the failure to develop new products, risks involved in fluctuations in currency exchange rates, delays in purchasing decisions of customers, the completion and integration of acquisitions, the possibility of technical, logistical or planning issues in connection with deployments, the continuous commitment of the Company's customers, demand for the Company's products and other risks… [read post]
8 Mar 2007, 4:55 pm
You and the Securities and Exchange Commission, that is. [read post]
6 Mar 2007, 12:36 am
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LAW / CORRECTNSS1277
LAVALLE -- Requires division of criminal justice services to provide additional information when sex offender absconds or becomes fugitive from justice BLURB : Cor. absconding sex offender Last Act: 03/05/07 ADVANCED TO THIRD READING
LAW / CORRECTNSS1453
NOZZOLIO -- Requires inmates to make medical co-payments BLURB : Cor. rq inm mk med co-pay Last Act: 03/05/07 ADVANCED TO THIRD READING
LAW / CORRECTNSS1454
NOZZOLIO -- Authorizes the head of any… [read post]
28 Feb 2007, 7:52 am
[1] Nevertheless, the Group of Seven (G7), of which the United States is a member and comprises the seven wealthiest countries in the world, vowed to continue looking into what new measures should be taken in order to impose stricter scrutiny over the risks being taken by hedge funds, and the risks they pose to the global economy. [2]The total assets under management in the hedge fund industry rose in 2006 to nearly $1.4 trillion, up 29% from the year before, with a record $126.5 billion of… [read post]
15 Feb 2007, 12:00 am
Several firm leaders, such as Cummings & Lockwood's Jonathan Mills, have said they'll reassess associate salaries midyear to see if they're competitive.
Thacher Proffitt Fires Second Associate After Insider-Trading Scheme
New York Law Journal
Thacher Proffitt & Wood has terminated an associate who agreed to pay $42,000 in civil penalties after the Securities and Exchange Commission accused him of insider trading. [read post]
8 Feb 2007, 9:00 am
Apparently, one of its employees was engaged in "fraudulent securities practices" and the Securities and Exchange Commission determined the activity comprised a "'serious[]' pattern of misconduct" on the part of Bank of America Corporation. [read post]
22 Jan 2007, 9:40 am
While the Securities and Exchange Commission approved new executive pay disclosure rules in July, investors are continuing their efforts to seek additional reforms at U.S. companies. [read post]
22 Jan 2007, 5:15 am
The “Explanatory Note” to the restated September 30 10-Q tells you that the restatement reflects a “reduction in estimated useful lives assigned to certain of our customer relationship intangibles as of January 1, 2006, in connection with our response to comments from the Staff of the Securities and Exchange Commission in the course of its review of our registration statement filed on Form S-1.” Later in footnote 2, the magnitude of that drop in… [read post]
19 Jan 2007, 2:31 am
Securities Litigation U.S. [read post]
12 Jan 2007, 2:35 pm
When we saw this week that the Securities and Exchange Commission had settled its case against William Sorin, the former general counsel of Mass. [read post]
9 Jan 2007, 10:56 am
Securities and Exchange Commission, a technology cheerleader who recently posted on a corporate blog, said on Monday that he uses blogs to gauge public reaction on securities issues. ... [read post]
5 Jan 2007, 5:51 am
A late December move by the Securities and Exchange Commission, altering the way in which U.S. companies must report the value of executive stock-option grants, is being criticized by investors and a key lawmaker as ill-conceived and poorly timed. [read post]
