Search for: "U. S. Securities and Exchange Commission"
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14 Aug 2014, 4:09 pm
The SEC’s stated policy is to require broker-dealer registration of anyone who receives a commission or other compensation in connection with the sale of securities, unless an exemption is available. [read post]
19 Jan 2012, 3:17 am
Securities and Exchange Commission in the case against Newman and another former employee, Jesse Tortora. [read post]
2 Nov 2009, 2:15 pm
Securities and Exchange Commission recently completed its investigation of Charles Schwab regarding the YieldPlus Fund. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
28 Jun 2010, 8:31 am
The majority held that allowing only the Securities and Exchange Commission (SEC) to remove members of the Public Company Accounting Oversight Board "stripped" the President of the power to hold the Board members accountable. [read post]
23 Mar 2012, 9:14 am
Department of State, the Federal Communications Commission, the U.S. [read post]
20 Apr 2023, 9:05 pm
” However, the Commission also noted that buybacks “must be carried out transparently in order to avoid insider trading or giving misleading signals to the markets. [read post]
1 Oct 2013, 5:53 pm
Is it significant for any of these purposes whether the rulemaking authority has been assigned to a cabinet department or to an independent regulatory commission? [read post]
3 Mar 2022, 12:19 pm
Secret Service; Department of Homeland Security; IRS-Criminal Investigation; and the U.S. [read post]
3 Mar 2022, 12:19 pm
Secret Service; Department of Homeland Security; IRS-Criminal Investigation; and the U.S. [read post]
4 Sep 2012, 8:31 am
These settlements accounted for more than $1.6 billion in fines and penalties to the Justice Department and the Securities and Exchange Commission. [read post]
3 Feb 2009, 5:57 am
S. prosecutors and the Securities and Exchange Commission apparently have been investigating the matter for two years. [read post]
26 Jun 2009, 4:22 pm
Here's an exchange between the Chancellor and the Dean about what jobs would be appropriate in exchange for admitting politically connected students: I suppose there are worse things than a Dean trying to aggressively secure employment for her law graduates that can't pass the bar and can't think. [read post]
26 Mar 2008, 11:54 pm
Securities & Exchange CommissionFriday, April 11, 2:45 pm"Foreign Ministry Legal Advisers' Roundtable": MarÃÂa del Luján Flores (left), Permanent Mission of Uruguay to the Organization of American StatesSaturday, April 12, 9 am"Universal Jurisdiction: It's Back! [read post]
24 Feb 2010, 1:14 am
And when faced with such a challenge, we reject suggestions such as,for example, the one made by petitioner that the mere filing of a form like the Securities and Exchange Commission’s Form 10–K listing a corporation’s “principal execu-tive offices” would, without more, be sufficient proof toestablish a corporation’s “nerve center. [read post]
19 Apr 2011, 9:57 am
Rajaratnam is not an isolated fight but rather part of an ongoing doctrinal war pitting the rather extreme views of the Securities and Exchange Commission against the carefully considered law of insider trading articulated by the Supreme Court. [read post]
15 Jul 2021, 2:54 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
14 Dec 2019, 1:55 am
They examine the differences between the Securities and Exchange Commission [SEC] in America, which is Federal, and the Ontario Securities Commission [OSC] which is provincial. [read post]
7 Sep 2011, 7:35 pm
… The U. [read post]
23 Sep 2010, 9:58 am
" for withdrawing Public Company Accounting Oversight Board members and instead vests that authority with Commissioners of the Securities and Exchange Commission. [read post]
