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28 Feb 2010, 12:01 pm
SEC v. [read post]
27 Oct 2011, 12:51 pm
The SEC's Order can be found here. [read post]
14 Mar 2019, 7:21 am
The position of CRO is a new one at the SEC. [read post]
20 Aug 2014, 7:00 am
Thus, the focus with the SEC should be on: if circumstances surrounding the case justify expending SEC resources and if the agency should be targeting the alleged violations in the first place; if the SEC’s settlement position is too aggressive, given the context of the assertions of wrongdoing; if the SEC’s legal theory makes sense; and if bringing the case might make bad law. [read post]
14 Feb 2024, 12:17 pm
” And this doesn’t get to court without the SEC bringing suit so … you be the judge as to where this is heading. [read post]
13 Aug 2009, 7:17 pm
The SEC states “[i]n a ‘naked’ short sale, [...] [read post]
6 May 2022, 2:32 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
6 May 2022, 2:26 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
11 Sep 2017, 5:17 am
The Act directs the SEC to amend Regulation A+ to allow SEC reporting issuers to use Regulation A+ when raising capital, and to deem their SEC periodic reports to satisfy the periodic and... [read post]
6 May 2022, 2:30 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
6 May 2022, 2:28 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
6 May 2022, 2:28 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
6 May 2022, 2:31 pm
The following special reports by our securities enforcement and investment management teams highlight expected SEC priorities in 2022 while reviewing significant SEC enforcement matters of the past year. [read post]
16 Nov 2018, 1:07 pm
On October 31, 2018, the United States Securities and Exchange Commission (the “SEC”) announced that it adopted rules to modernize mining property disclosure in order to harmonize SEC disclosure requirements with international standards. [read post]
2 Feb 2010, 1:58 pm
According to the WSJ Blog (which quotes the Washington Times), the SEC may have had some oversight problems of its own. [read post]
31 May 2023, 9:33 am
SEC Identified Problems With ESG-Investment Claims Shortly after the task force’s creation, SEC chair Gary Gensler gave a speech outlining the scope of the SEC’s interest in ESG issues. [read post]
12 Nov 2021, 10:28 am
Read the SEC press release here. [read post]
11 Nov 2013, 7:00 am
The SEC may obtain contempt orders for defendants, who violate the injunctions only in cases of ongoing conduct. [read post]
16 Aug 2012, 8:00 am
In SEC v. [read post]
19 Nov 2013, 7:58 am
This is a direct violation of internal SEC rules. [read post]
