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14 Nov 2010, 12:31 am
Michael Volkav of Mayer Brown writes: The Department of Justice and Securities and Exchange Commission (SEC) resolved seven FCPA cases last week involving the oil and gas industry. [read post]
15 Oct 2009, 9:52 am
After the relentless pounding the Securities and Exchange Commission has received for failing to expose Bernard Madoff's... [read post]
15 Jan 2003, 1:28 pm
[JURIST] Listen to recorded audio of Wednesday's open meeting of the Securities and Exchange Commission [recorded audio] setting new rules on financial information filing, disclosure, and insider trading under the Sarbanes-Oxley Act. [read post]
6 Apr 2009, 4:16 am
On Wednesday, the Securities and Exchange Commission plans [...] [read post]
21 Jun 2018, 5:59 pm
In a 7-2 ruling, the Supreme Court held today that Securities and Exchange Commission (SEC) administrative law judges (ALJ) are “officers... [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]
2 Jul 2020, 10:00 pm
On Friday, July 3, the US Department of Justice (DOJ) Criminal Division and the Securities and Exchange Commission (SEC) published the Second Edition of A Resource Guide to the U.S. [read post]
8 Nov 2006, 5:35 am
Merck said in the filing with the Securities and Exchange Commission that it disagrees with the proposed tax adjustments and [...] [read post]
1 Mar 2011, 12:13 pm
It was the latest allegation in a far-reaching Securities and Exchange Commission investigation of... [read post]
30 Apr 2010, 5:25 am
Goldman Case Goes Criminal: The New York Times reports that the Securities and Exchange Commission, which has filed a civil suit against Goldman Sachs, referred its investigation to prosecutors for the Southern District of New York, which has now opened... [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
27 Jan 2022, 7:55 am
For reporting financial malfeasance and providing key evidence during investigations, the Securities and Exchange Commission awarded just… The post Crime Doesn’t Pay, but Whistleblowing Does: SEC Awards $40 Million to Four Whistleblowers appeared first on TZ Legal - Fraud Fighters. [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]
11 Jan 2018, 8:22 am
The Securities and Exchange Commission sanctioned a private equity fund adviser and its chief executive officer for making false statements about the other investors that had committed to invest in one of the adviser’s private equity funds. [read post]
3 Dec 2020, 10:00 pm
The Nasdaq Stock Market (Nasdaq) announced that it had submitted a proposal to the US Securities and Exchange Commission (SEC) seeking approval of new listing rules to advance board diversity and increase transparency to investors regarding the diversity characteristics of Nasdaq-listed company boards. [read post]
10 Nov 2011, 11:33 am
Occupy Wall Street appeared in two Securities and Exchange Commission filings, reports FootNoted.com. [read post]
24 Mar 2008, 8:49 am
The Securities and Exchange Commission on Monday charged Biovail, a Canadian drug maker that has been embroiled in a heated battle with several hedge funds, with accounting fraud. [read post]
22 Sep 2013, 8:30 am
[Fortune cover story] Tweet Tags: Securities and Exchange Commission, Wall StreetStock analysts and the expansion of insider trading law is a post from Overlawyered - Chronicling the high cost of our legal system [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]
23 Sep 2011, 8:58 am
Facing questions about a possible conflict of interest, the former Securities and Exchange Commission general counsel told a House panel Thursday, "I take complete responsibility for my actions. [read post]
