Search for: "In Re Securities and Exchange Commission"
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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]
18 Dec 2019, 4:00 am
The company’s current CEO recently stated that the company is cooperating with the Securities and Exchange Commission. [read post]
25 Apr 2012, 9:29 pm
For the most part, investigations by the Securities and Exchange Commission, which handles that part of the FCPA dealing with books and records (aka “accounting irregularities”), lead to fines. [read post]
8 Nov 2018, 6:10 am
The Securities and Exchange Commission has the same problem as any compliance professional: “How do you prove you’re being effective? [read post]
15 Aug 2011, 2:00 am
Securities and Exchange Commission (the “Commission”) re-proposed for public comment rules that seek to enhance the disclosure, reporting and shelf eligibility requirements for issuers of asset-backed securities (ABS). [read post]
8 Mar 2019, 8:54 am
After you file a Form TCR with the Securities and Exchange Commission, you may strike gold. [read post]
29 Jun 2007, 10:04 am
Chairman Christopher Cox of the Securities and Exchange Commission told lawmakers this week that the agency plans to issue proposed proxy rule changes by late July, in an effort to have final rules in place before the 2008 U.S. proxy season. [read post]
1 Jul 2010, 8:22 am
” The Securities and Exchange Commission recently announced it was deferring approval of new ETFs that use derivatives, and the SEC and the Financial Industry Regulatory Authority Inc. [read post]
28 Oct 2021, 2:01 am
This week on Arbiters of Truth, our series on the online information ecosystem, we’re talking about a subject that doesn’t come up much on the Lawfare Podcast: the Securities and Exchange Commission. [read post]
30 May 2012, 6:10 am
According to reports, the Securities and Exchange Commission (SEC) has charged a Miami-based hedge fund advisor for deceiving investors about whether the company’s executives had personally invested in a Latin America-focused hedge fund. [read post]
21 Jun 2012, 7:14 am
After last month's issues with the Facebook Inc. initial public offering ("IPO"), a bipartisan group legislators have asked the Securities and Exchange Commission ("SEC") to overhaul the IPO process, claiming that the current system unfairly punishes small investors. [read post]
24 Aug 2007, 8:04 am
Ten months after the New York Stock Exchange (NYSE) first proposed the elimination of discretionary broker voting in board elections, investors are still waiting for the Securities and Exchange Commission to address the issue. [read post]
2 Jun 2011, 8:40 am
For example, all security-based swaps that are required to be cleared are required to be executed on an exchange or a swap execution facility if one makes the security-based swap available for trading. [read post]
30 May 2023, 6:00 am
The justices unanimously held that the statutory review schemes set out in the Securities Exchange Act and Federal Trade Commission Act do not displace a district court’s federal-question jurisdiction over claims challenging as unconstitutional the structure or existence of the Securities and Exchange Commission (SEC) or the Federal Trade Commission (FTC). [read post]
16 Aug 2023, 8:31 am
Understanding Mini-Tender Offers According to the Securities and Exchange Commission, “Mini-tender” offers involve tender offers where, upon completion, the individual making the offer will end up owning less than five percent of a company’s stock. [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
2 Jul 2009, 7:16 am
At a time when so many people are beating the drum about the need for companies to file transparent documents with the Securities and Exchange Commission, General Motors (GMGMQ) deserves credit. [read post]
6 Jun 2012, 4:59 am
The Securities and Exchange Commission has a shotgun in its hand and is looking for zombies. [read post]
28 Nov 2018, 7:17 am
Stock exchanges approved for Nebraska’s exchange listed exemption are securities exchanges specified by federal Securities Act, Section 18(b)(1) and SEC Rule 230.146, as well as the Chicago Stock Exchange. [read post]
10 Aug 2018, 7:00 am
Automation & Control Lessons in Latest SEC Enforcement by Matt Kelly in Radical Compliance We have an interesting enforcement action from the Securities and Exchange Commission this week, where the agency dinged a telecom company and its former executives $1.9 million for misleading statements on revenue projections. [read post]
