Search for: "Securities and Exchange Commission"
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23 Jul 2010, 12:18 pm
More than three years after a formal investigation began, the Securities & Exchange Commission and Sunrise Senior Living Inc. reached a settlement today resolving SEC concerns about the company's financial reporting from 2003 to 2005. [read post]
6 Jul 2012, 10:50 am
A former Citigroup Inc. employee has asked a federal judge to bar the Securities and Exchange Commission from asking "leading questions" to a series of witnesses at his upcoming trial in a civil fraud case over a $1 billion mortgage-bond deal brokered by the bank. [read post]
14 Aug 2022, 10:00 pm
Associates Rachel Mann and Timothy Durbin authored a column for GreenBiz discussing proposed regulations from the US Securities and Exchange Commission (SEC) and US Department of Labor (DOL) that highlight the potential impact of environmental, social, and governance (ESG) factors on corporate financial performance. [read post]
21 Jun 2020, 9:00 am
Securities and Exchange Commission. [read post]
23 Apr 2008, 4:07 am
Securities and Exchange Commission said in a statement. [read post]
4 Sep 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. [read post]
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]
6 May 2009, 6:16 am
The Securities Exchange Commission filed a civil complaint against "two California-based attorneys as well as a California corporation and its owner for preparing and issuing fraudulent legal opinions involving unregistered stock that enabled promoters and others to sell shares in... [read post]
10 Sep 2010, 2:58 am
In the Securities and Exchange Commission's investigation into the fall of Lehman Brothers, scrutiny has turned to an accounting maneuver that was designed to give the impression that the failed bank's debt levels were lower than they were, The Wall Street Journal reported. [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]
21 Nov 2007, 4:30 am
Lampert, revealed in an Securities and Exchange Commission filing Monday that it has built a 13.9 percent stake [...] [read post]
20 Dec 2006, 5:06 am
A Russian trader, operating through an Estonian brokerage firm, found a simpler way to pump and dump stocks, the Securities and Exchange Commission said Tuesday. [read post]
4 Nov 2019, 9:44 pm
I approached with some curiosity the Securities and Exchange Commission's recent shareholder proposal guidance in Staff Legal Bulletin No. 14J ("SLB 14J"). [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]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
9 Jan 2025, 6:00 am
On December 11, 2024, the United States Court of Appeals for the Fifth Circuit in a rare en banc decision vacated the Securities and Exchange Commission’s (SEC) order approving Nasdaq’s board diversity rules (Rules 5605(f) and Rule 5606).Continue Reading › [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
24 Aug 2020, 2:25 pm
Partners Matthew Miner and Eric Sitarchuk and associates Jaclyn Whittaker and Amanda Robinson contributed an article to the newsletter Corporate Governance Advisor regarding the updated resource guide issued by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) in July. [read post]
6 Mar 2013, 6:00 am
In its annual report filed with the Securities and Exchange Commission, EFH warned about their financial restrictions and limited flexibility, and that any unexpected breach could result in a default of their debt agreements. [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]
