Search for: "In Re Securities and Exchange Commission"
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1 Jul 2010, 8:22 am
” The Securities and Exchange Commission recently announced it was deferring approval of new ETFs that use derivatives, and the SEC and the Financial Industry Regulatory Authority Inc. [read post]
28 Oct 2021, 2:01 am
This week on Arbiters of Truth, our series on the online information ecosystem, we’re talking about a subject that doesn’t come up much on the Lawfare Podcast: the Securities and Exchange Commission. [read post]
30 May 2012, 6:10 am
According to reports, the Securities and Exchange Commission (SEC) has charged a Miami-based hedge fund advisor for deceiving investors about whether the company’s executives had personally invested in a Latin America-focused hedge fund. [read post]
21 Jun 2012, 7:14 am
After last month's issues with the Facebook Inc. initial public offering ("IPO"), a bipartisan group legislators have asked the Securities and Exchange Commission ("SEC") to overhaul the IPO process, claiming that the current system unfairly punishes small investors. [read post]
24 Aug 2007, 8:04 am
Ten months after the New York Stock Exchange (NYSE) first proposed the elimination of discretionary broker voting in board elections, investors are still waiting for the Securities and Exchange Commission to address the issue. [read post]
16 Aug 2023, 8:31 am
Understanding Mini-Tender Offers According to the Securities and Exchange Commission, “Mini-tender” offers involve tender offers where, upon completion, the individual making the offer will end up owning less than five percent of a company’s stock. [read post]
30 May 2023, 6:00 am
The justices unanimously held that the statutory review schemes set out in the Securities Exchange Act and Federal Trade Commission Act do not displace a district court’s federal-question jurisdiction over claims challenging as unconstitutional the structure or existence of the Securities and Exchange Commission (SEC) or the Federal Trade Commission (FTC). [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
2 Jul 2009, 7:16 am
At a time when so many people are beating the drum about the need for companies to file transparent documents with the Securities and Exchange Commission, General Motors (GMGMQ) deserves credit. [read post]
2 Jun 2011, 8:40 am
For example, all security-based swaps that are required to be cleared are required to be executed on an exchange or a swap execution facility if one makes the security-based swap available for trading. [read post]
6 Jun 2012, 4:59 am
The Securities and Exchange Commission has a shotgun in its hand and is looking for zombies. [read post]
28 Nov 2018, 7:17 am
Stock exchanges approved for Nebraska’s exchange listed exemption are securities exchanges specified by federal Securities Act, Section 18(b)(1) and SEC Rule 230.146, as well as the Chicago Stock Exchange. [read post]
2 Jul 2018, 5:25 am
The reason: as long as there are investors willing to believe that they can effectively get something for nothing, there will be swindlers out there eager to take their money.In a recent Securities and Exchange Commission complaint, the SEC alleged that insurance broker James E. [read post]
24 Jan 2009, 12:20 pm
The Senate on Thursday confirmed President Barack Obama's nomination of Mary Schapiro as Chair of the Securities and Exchange Commission. [read post]
17 Aug 2012, 6:54 am
The Securities and Exchange Commission ("SEC") has charged College Football Hall of Fame coach Jim Donnan and his business partner, Gregory Crabtree, with running an $80 million dollar Ponzi scheme. [read post]
12 Sep 2023, 9:01 pm
That’s why we’re updating our rules for the technology and business models of the 2020s. [read post]
7 Apr 2011, 12:00 pm
Securities and Exchange Commission rule that makes it easier for public company shareholders to nominate corporate directors faced tough scrutiny today from a three-judge panel at the U.S. [read post]
25 Nov 2014, 12:31 pm
Securities and Exchange Commission, 748 F.3d 359 (D.C. [read post]
16 Jun 2023, 7:10 am
On September 28, 2020, the Securities and Exchange Commission (SEC) announced it had settled actions against two public companies for improperly reporting their quarterly Earnings Per Share (EPS). [read post]
24 Oct 2011, 12:10 pm
The De Larosière report highlighted that one of the problems leading to the financial crisis was an inconsistent implementation of financial services rules leading to a fragmented internal market. [read post]
