Search for: "Securities and Exchange Commission"
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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]
15 Nov 2022, 10:00 pm
Partners Kelly Gibson and Liz Goldberg, along with associate Michael Hacker, wrote an article for Reuters addressing ways companies and asset managers can help ensure disclosures related to environmental, social, and governance issues do not invite an investigation or enforcement action from the US Securities and Exchange Commission (SEC). [read post]
8 Jun 2007, 5:50 am
Securities and Exchange Commission Chairman Christopher Cox broke ranks with the agency's Republican members to back investors in a Supreme Court case, three people familiar with the matter said. [read post]
26 Oct 2020, 10:51 pm
The NYU Pollack Center for Law & Business, Indiana University Maurer School of Law, and Securities and Exchange Commission Historical Society invite you to a virtual program entitled "Insider Trading: Honoring the Past｜A Program Commemorating the 40th Anniversary of Chiarella... [read post]
3 Feb 2011, 12:39 am
If a company's financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
3 Nov 2009, 10:12 pm
Abstract: The Securities and Exchange Commission has proposed proxy rules mandating shareholder access under conditions... [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
26 Oct 2007, 4:48 am
Commerce Bancorp said Thursday that the Securities and Exchange Commission was investigating insider dealings at the company in a reprise of a probe by federal bank regulators that led to the ouster in June of founder Vernon W. [read post]
3 Jan 2008, 4:58 am
The company filed with the Securities and Exchange Commission in May 2007 to raise as much as $345 million from its offering. [read post]
22 Feb 2012, 11:10 am
Securities and Exchange commission Economist, has given testimonies that have exposed the unlawful activity of [...] [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]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
5 May 2009, 11:32 am
In what the agency describes as its first insider trading case involving credit default swaps, the Securities and Exchange Commission has charged a former hedge fund portfolio manager and a salesman at Deutsche Bank with sharing nonpublic information about VNU bonds that allowed the portfolio manager to reap a quick profit. [read post]
19 Apr 2022, 10:00 pm
In a historical proposed rulemaking, the US Securities and Exchange Commission marked the first time it has indicated that climate-related disclosure is material information that all public companies must provide regardless of industry or size. [read post]
30 May 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) recently approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. [read post]
20 Apr 2015, 2:00 pm
According to a filing rendered by the Securities and Exchange Commission, Wyly’s... [read post]
8 Feb 2011, 12:48 pm
Securities and Exchange Commission. [read post]
9 Jan 2008, 4:32 am
Pioneer Southwest Energy Partners, a limited partnership formed to acquire oil and gas properties, said Tuesday it plans to raise $136 million in an initial public offering of 7.5 million common units, according to an amended filing with the Securities and Exchange Commission. [read post]
11 Mar 2008, 4:27 am
Bostwick Laboratories, which focuses on cancer diagnostics, plans an initial public offering of common stock, according to a Securities and Exchange Commission filing Friday. [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]
