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20 Mar 2007, 9:21 pm
By Donald Zuhn --- Last Friday, NimbleGen Systems, Inc. announced that it had filed a registration statement with the Securities and Exchange Commission for a proposed initial public offering of its common stock. [read post]
8 Feb 2013, 9:00 pm
Wall Street Journal: A federal judge castigated the Securities and Exchange Commission and International Business Machines Corp. on Thursday, warning he wouldn’t “rubber stamp” their pending $10 million settlement over violations of an antibribery law. [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
13 May 2011, 10:29 am
In a report released Friday, the Project on Government Oversight analyzes hundreds of internal Securities and Exchange Commission documents and questions the agency's ability to remain independent given the frequency with which its employees jump between the public and private sectors. [read post]
8 Jan 2007, 6:55 am
The former head of Spinner Global Technology, a $200 million New York hedge fund, has been accused by the Securities and Exchange Commission of illegal short selling as part of trades in private investments. [read post]
19 May 2016, 6:52 pm
The Securities and Exchange Commission named Phil Mickelson in a federal insider trading lawsuit, alleging in court documents filed on Thursday that the five-time major winner made nearly $1 million via information that was not publicly available. [read post]
1 Jul 2010, 4:05 am
While the Securities and Exchange Commission has been looking to cull hedge fund talent to help its task force better understand the industry, some hedge funds have been turning the tables -- going out and hiring former regulators of their own, Reuters reports. [read post]
3 Nov 2009, 10:12 pm
Abstract: The Securities and Exchange Commission has proposed proxy rules mandating shareholder access under conditions... [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]
10 Jan 2007, 5:23 am
In a filing with the Securities and Exchange Commission, [...] [read post]
23 Sep 2008, 12:24 pm
Many hedge funds are chafing under the broad but temporary restrictions that the Securities and Exchange Commission has placed on short-selling. [read post]
6 Apr 2007, 8:34 pm
By Donald Zuhn --- On March 23, 2007, Simcere Pharmaceuticals filed a registration statement with the Securities and Exchange Commission (SEC) for a proposed initial public offering of its common stock. [read post]
7 Jan 2011, 12:23 pm
Former Securities & Exchange Commission general counsel James Doty has been named chairman of the Public Company Accounting Oversight Board, and Gibson, Dunn & Crutcher partner Lewis Ferguson has been selected as a member of the five-person body. [read post]
18 Feb 2021, 10:00 pm
Partners Christine Lombardo, John O’Brien, and Steven Stone; of counsel Monica Parry; and associates Brian Baltz, Robert Raghunath, and Ellen Weinstein authored a piece for Wall Street Lawyer about the US Securities and Exchange Commission’s (SEC’s) new Marketing Rule. [read post]
15 Jul 2010, 9:36 am
The Securities and Exchange Commission yesterday announced that it was issuing a concept release to seek public comment on the U.S. proxy system. [read post]
22 Nov 2012, 4:37 am
The Securities and Exchange Commission’s new whistleblower program had a banner first year. [read post]
19 Nov 2010, 12:24 pm
Jennifer McHugh will take over as acting director of the Securities and Exchange Commission’s Division of Investment Management, replacing Andrew "Buddy" Donohue, who is leaving the agency today after four years heading the division. [read post]
17 Dec 2020, 6:54 am
From the SEC press release (here): The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing... [read post]
11 Mar 2021, 10:00 pm
In the piece, they outline the US Securities and Exchange Commission’s areas of focus and best practices for developing an ESG program and disclosures. [read post]
21 Oct 2010, 2:21 pm
The report says the return on the bailout can fund the Securities Exchange Commission for the... [[ This is a content summary only. [read post]
