Search for: "In Re Securities and Exchange Commission"
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25 Feb 2018, 6:46 am
The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs) and combating abuses in cybersecurity matters. [read post]
23 Feb 2009, 12:02 pm
In its civil complaint in Securities and Exchange Commission v. [read post]
20 Dec 2010, 3:29 am
The Securities Exchange Commission recently released its proposed rules for the handling of securities fraud whistleblower claims under the Dodd-Frank bill. [read post]
5 Dec 2023, 1:42 pm
Securities and Exchange Commission (SEC) has stepped up its enforcement of Rule 21F-17(a), filing a number of enforcement actions against companies for stifling whistleblowing through restrictive nondisclosure agreements and other employee agreements. [read post]
14 Sep 2013, 6:43 am
” Section 941 added Section 15G to the Securities Exchange Act of 1934, which requires the Agencies to prescribe risk retention rules. [read post]
31 Dec 2019, 11:36 am
The Securities and Exchange Commission (SEC) announced that it has taken emergency action to stop an alleged $6 million Ponzi scheme that took money from at least 55 people, many of whom are seniors. [read post]
7 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) has been on a transparency rampage – proposing extensive new disclosure obligations on public companies, activist investors, private funds, and (maybe soon) so-called “unicorn” startups. [read post]
28 Mar 2014, 3:20 pm
The Federal Trade Commission (“FTC”) has settled with two mobile application developers, Fandango and Credit Karma, over charges that they misrepresented the security of their mobile applications. [read post]
6 Feb 2013, 5:00 am
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
5 Apr 2023, 9:01 pm
Thank you for inviting me to testify today on the Securities and Exchange Commission’s Fiscal Year (FY) 2024 budget request. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
16 Mar 2010, 7:30 am
Look no further than Vinod Gupta, who, yesterday evening, became the Securities and Exchange Commission’s poster child for perks run amok. [read post]
25 Apr 2024, 6:41 am
To illustrate this point, we’re summarizing highlights of the hundreds of FOIA requests submitted by media organizations to the Food and Drug Administration and the Securities and Exchange Commission during March (the most recent month for which information is available). [read post]
15 Dec 2016, 6:42 pm
Securities and Exchange Commission (10th Cir., December 6, 2016) (affirming the SEC's disciplinary suspension of McCune (resulting in his being 'permitted to resign' from his employment) because he failed to ‘observe high standards of commercial honor and just and equitable principles of trade’)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case,… [read post]
13 Jan 2017, 9:18 pm
United States Securities and Exchange Commission (10th Cir., December 27, 2016) (holding that SEC ALJs are inferior officers rather than employees, and therefore subject to the Constitution's appointments clause; the ALJ presiding over Bandimere's case held his office unconstitutionally)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case, res judicata, or collateral… [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
6 Oct 2021, 1:56 pm
You may be an eligible whistleblower entitled to a reward if you voluntarily provide original information to the Securities and Exchange Commission (SEC) or other federal agency that leads to the SEC’s issuance of sanctions of one million dollars ($1,000,000) or more. [read post]
14 Jul 2014, 2:43 pm
Private equity firms were put on notice last year that they may be subject to registration as broker dealers when David Blass, head of the Division of Markets and Trading at the Securities and Exchange Commission (“SEC”), provided his insights at an industry conference. [read post]
12 Oct 2018, 12:08 pm
As long as investors can be convinced they can earn a reward without risk, Ponzi schemes will find victims.Ponzi Schemer Paid Priests for PrayersAn investment advisor charged by the Securities and Exchange Commission with running a multi-million dollar Ponzi scheme spent close to a million dollars on prayers from Hindu priests in order to keep the feds at bay. [read post]
26 Oct 2009, 3:49 pm
Apparently, Overstock.com (NASDAQ: OSTK) is going to stubbornly tough it out and force the Securities and Exchange Commission to take enforcement action to make its financial reports comply with Generally Accepted Accounting Principles (GAAP). [read post]
