Search for: "In Re Securities and Exchange Commission"
Results 301 - 320
of 2,824
Sorted by Relevance
|
Sort by Date
11 Jan 2018, 6:39 am
On December 22, 2017, the Securities and Exchange Commission’s Division of Corporation Finance released Form 8-K Compliance and Disclosure Interpretation 110.02 and its Office of the Chief Accountant published Staff Accounting Bulletin No. 118, which provide guidance on reporting accounting impacts of the recently enacted tax reform legislation. [read post]
18 May 2010, 1:38 pm
The Securities and Exchange Commission (SEC) brought civil fraud charges against Goldman in what may turn out to be one of the biggest cases in securities law. [read post]
7 Oct 2021, 1:46 pm
The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrency into their scams. [read post]
21 Jun 2012, 1:56 pm
The Securities and Exchange Commission (SEC), since its creation in 1934, has always had a program in place to report fraud, however this program has not had any financial incentive for people to report companies to the SEC until very recently. [read post]
16 Jun 2022, 2:07 pm
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
11 Jul 2024, 6:12 am
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
3 Mar 2010, 10:41 am
The staff of the Securities and Exchange Commission is allowing companies to omit a new AFL-CIO proposal that seeks to bar current or former CEOs from serving on the compensation committee. [read post]
1 Nov 2019, 7:30 am
GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. [read post]
23 Nov 2021, 7:41 am
The Commission proposed for comment new Exchange Act Rule 10c-1: "Securities lending transparency. [read post]
28 Apr 2011, 10:50 am
A statutory deadline of April 21, 2011 had been imposed by Congress for the SEC (Securities and Exchange Commission) to issue rules for a whistleblower program. [read post]
5 Mar 2014, 5:00 am
The chances are greater than ever that the Securities and Exchange Commission will show up in your lobby. [read post]
27 Sep 2022, 6:30 am
The US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) have issued a number of policy updates and public pronouncements over the last several months, emphasizing the importance of empowered and accountable corporate compliance programs. [read post]
6 Sep 2018, 6:01 am
Roisman to be a member of the Securities and Exchange Commission. [read post]
29 Jun 2022, 6:51 am
Leaders of the Securities and Exchange Commission (SEC) recently released its 2022 priorities for its Department of Examinations (EXAMS)—the office charged with monitoring risks and protecting investors. [read post]
10 Jul 2020, 9:33 am
Securities and Exchange Commission (SEC) posted a Notice of Covered Action regarding action against Florida-based stock promoter Brian Robert Sodi. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
22 Mar 2023, 9:01 pm
Securities and Exchange Commission. [read post]
