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28 Oct 2022, 2:06 pm
Securities and Exchange Commission (SEC) Whistleblower Program among fears of an economic recession. [read post]
20 Dec 2018, 10:04 am
The overseas whistleblower provided a tip that led the SEC to open an investigation. [read post]
18 Mar 2022, 1:12 pm
Read: SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers More SEC Whistleblower News on WNN The post SEC Issues Three Whistleblower Awards Totaling $3 Million appeared first on Whistleblower Network News. [read post]
5 Jun 2024, 3:30 am
The SEC’s press release states: The SLRO has long been the SEC’s smallest regional office and recently has experienced significant attrition. [read post]
2 Apr 2011, 7:57 pm
With Pauslon at $4.9 bill and the SEC at $1.2, we can say that Paulson earned 4.08 SECs. [read post]
19 Oct 2023, 8:51 am
Correspondingly, the SEC has awarded over $1.5 billion to whistleblowers. [read post]
15 Sep 2016, 6:16 am
SEC v. [read post]
11 Jun 2016, 6:43 am
This action follows a series of speeches by SEC Chair Mary Jo White and SEC senior staff members, and an uptick in comment letter activity, all focused on what a member of the SEC staff described in one speech as a “troubling increase over the past few years in the use of, and nature of adjustments within, non-GAAP measures by companies. [read post]
5 Oct 2015, 6:05 am
SEC, October 2, 2015).The SEC’s answer to Duka’s amended complaint acknowledged that ALJs James Grimes and Cameron Elliot were not hired by the commissioners themselves. [read post]
2 Sep 2022, 7:59 am
News outlets have reported that the SEC may be investigating if Apple misled the SEC on its use of these agreements. [read post]
10 Jan 2011, 7:35 am
It is not relevant where the SEC is in its investigation or whether the SEC intends to investigate the matter at all. [read post]
12 Mar 2018, 10:49 am
At the end of the release, as is typical, the SEC identifies the regulators behind the investigation. [read post]
12 Nov 2021, 11:21 am
New SEC Chairman Gary Gensler has already directed the SEC staff to propose revisions to these amendments. [read post]
5 Apr 2023, 4:10 am
The report notes how OMWI’s DEIA initiatives extend outside of the SEC. [read post]
2 Oct 2007, 11:54 am
SEC-Fed Reg. [read post]
26 Oct 2023, 7:00 am
The post SEC Announces Examination Priorities for 2024 appeared first on RIA Compliance Blog. [read post]
19 Nov 2018, 6:00 am
The firm ultimately settled with the SEC for $75,000. [read post]
30 May 2012, 4:11 am
" Also see this DealBook piece entitled "With New Firepower, SEC Tracks Bigger Game" - and this OnWallStreet piece entitled "SEC Whistleblower Tip Rate: 7 A Day. [read post]
28 Nov 2022, 9:54 am
The SEC awarded our client 30% of the monetary sanctions collected, the highest percentage award allowed under the SEC Whistleblower Program. [read post]
22 Sep 2021, 12:39 pm
SEC Rules are expected this Spring to affect SPAC offerings; last week the SEC’s Investor Advisory Committee provided the Commission with a list of recommendations for consideration. [read post]
