Search for: "Securities and Exchange Commission"
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22 Feb 2012, 11:10 am
Securities and Exchange commission Economist, has given testimonies that have exposed the unlawful activity of [...] [read post]
6 Sep 2012, 1:59 pm
More than a decade after the alleged insider trading, a federal appeals court has revived a Securities and Exchange Commission case against a hedge-fund manager and two others over disputed trades ahead of the acquisition of SunSource Inc. in 2001. [read post]
23 Jan 2007, 5:05 am
The Securities and Exchange Commission declined to take a stand on Monday on a request from Hewlett-Packard to exclude from its proxy ballot a proposal from some shareholders that would give them more power to nominate directors. [read post]
28 Oct 2010, 2:35 am
Securities and Exchange Commission -- virtually unnoticed -- gained a powerful new weapon that could significantly increase the agency's force and reach, Reuters writes. [read post]
3 Aug 2009, 7:51 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Monday charged Bank of America [corporate website] with misleading investors [complaint, PDF] regarding billions of dollars paid to Merrill Lynch [corporate website] executives during the acquisition of the firm. [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]
9 May 2019, 2:22 pm
Securities and Exchange Commission that it has reached agreements to resolve the independent contractor (IC) classification claims of a large majority of the 60,000 drivers in … Continue reading → [read post]
11 Jun 2020, 10:00 pm
Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other effects of the coronavirus (COVID-19) pandemic. [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]
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]
15 Jan 2008, 4:37 am
A former broker at UBS Financial Services has agreed to settle charges he participated in a multi-million dollar hedge fund fraud, the Securities and Exchange Commission said on Monday. [read post]
8 Mar 2007, 10:25 am
The Securities and Exchange Commission suspended trading in the stocks of 35 small companies linked to spam e-mail campaigns urging small investors to buy shares. [read post]
13 Dec 2011, 2:08 pm
Six months after the Securities and Exchange Commission directed a brokerage industry fund to help customers who lost money in R. [read post]
22 Jan 2003, 1:38 pm
[JURIST] The Securities and Exchange Commission held a public meeting Wednesday to adopt new rules addressing shareholder reports, auditor independence, management disclosure and retention of records pursuant to the Sarbanes-Oxley Act of 2002. [read post]
24 Feb 2013, 3:00 am
New York Times DealBook: A Revolving Door in Washington With Spin, but Less Visibility, by Jesse Eisinger (ProPublica): Obsess all you’d like about President Obama’s nomination of Mary Jo White to head the Securities and Exchange Commission. [read post]
2 Dec 2010, 9:28 am
Lawyers for Dallas Mavericks owner Mark Cuban recently pitched this novel idea: paying the Securities and Exchange Commission to hire contract attorneys to expedite a public records request. [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]
21 Jan 2009, 4:43 pm
The Securities and Exchange Commission charged a missing hedge fund manager with fraud on Wednesday, saying he misled investors and overstated the value of investments in six of his funds by at least $300 million. [read post]
11 May 2010, 4:22 am
Senator Jack Reed filed an amendment to the financial reform bill Monday that would require all hedge funds, private equity shops and venture capital firms to register with either a state regulator or the Securities and Exchange Commission, according to press reports. [read post]
8 May 2010, 7:41 am
Donohue, Director of the Division of Investment Management at the Securities and Exchange Commission, and is based on a recent address by Mr. [read post]
