Search for: "Securities and Exchange Commission"
Results 3021 - 3040
of 22,173
Sorted by Relevance
|
Sort by Date
7 Oct 2010, 11:58 am
The Securities and Exchange Commission has obtained a temporary restraining order and emergency asset freeze against an Internet company that allegedly defrauded deaf investors. [read post]
12 Feb 2018, 9:00 pm
Securities & Exchange Commission. [read post]
15 Nov 2022, 10:00 pm
Partners Kelly Gibson and Liz Goldberg, along with associate Michael Hacker, wrote an article for Reuters addressing ways companies and asset managers can help ensure disclosures related to environmental, social, and governance issues do not invite an investigation or enforcement action from the US Securities and Exchange Commission (SEC). [read post]
31 Aug 2010, 9:34 am
A Securities and Exchange Commission veteran heads to Steptoe & Johnson, working on compliance matters. [read post]
25 Nov 2013, 1:25 pm
By: Joseph Marrow More than three years ago, pursuant to the Dodd-Frank Act, the Securities and Exchange Commission (SEC) established an award program for whistleblowers creating a new private right of action for employees in the financial services sector who suffer retaliation for disclosing information about fraudulent or unlawful conduct related to the offering or […] [read post]
8 Jun 2007, 5:50 am
Securities and Exchange Commission Chairman Christopher Cox broke ranks with the agency's Republican members to back investors in a Supreme Court case, three people familiar with the matter said. [read post]
4 Dec 2006, 4:41 am
The Securities and Exchange Commission dropped consideration Friday of two hedge fund measures from its agenda for a Monday meeting, saying it wanted more time to review their language. [read post]
19 Jan 2007, 3:30 am
In a filing with the Securities and Exchange Commission, Building Materials said it had raised its offer for [...] [read post]
14 May 2020, 10:00 pm
In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top priority and is dedicating significant time and resources to respond to such issues. [read post]
30 Jul 2020, 10:00 pm
Morgan Lewis partners Eric Sitarchuk and Matt Miner and associates Jaclyn Whittaker and Amanda Robinson authored a Bloomberg Law article about the US Department of Justice and Securities and Exchange Commission’s updated guide on the Foreign Corrupt Practices Act (FCPA). [read post]
30 May 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) recently approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. [read post]
20 Jul 2018, 1:55 pm
Securities and Exchange Commission. [read post]
9 Aug 2024, 4:00 am
Securities and Exchange Commission in Louisiana federal court on Monday to protect their forthcoming nonfungible token projects from a potential enforcement action, with the artwork itself seeking to highlight a perceived regulatory overreach into... [read post]
7 Sep 2010, 11:06 pm
Federal regulators are examining certain practices involving "quote stuffing," where large numbers of rapid-fire stock orders are placed and canceled almost immediately, the chairwoman of the Securities and Exchange Commission, Mary L. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
10 Aug 2024, 10:00 am
Securities and Exchange Commission (SEC) to challenge the agency's stance on NFTs. [read post]
20 Nov 2006, 4:59 am
A.I.G. received the subpoenas from the antitrust division of the Justice Department and the Securities and Exchange Commission. [read post]
23 Jun 2024, 10:00 pm
The US Securities and Exchange Commission has adopted amendments to Regulation S-P requiring entities under its remit to provide notice to individuals affected by certain types of data breaches. [read post]
19 Jul 2011, 12:37 pm
His Dallas Mavericks may have won the NBA championship, but Cuban himself--represented by Dewey's Lyle Roberts--wound up on the losing end the latest round in his long-running insider trading battle with the Securities and Exchange Commission. [read post]
25 Apr 2013, 11:28 am
The New York Times reported yesterday that the Securities and Exchange Commission ("SEC") is considering proposing a rule that would require corporations to disclose their political spending. [read post]
