Search for: "In Re Securities and Exchange Commission"
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24 Jan 2009, 12:20 pm
The Senate on Thursday confirmed President Barack Obama's nomination of Mary Schapiro as Chair of the Securities and Exchange Commission. [read post]
17 Aug 2012, 6:54 am
The Securities and Exchange Commission ("SEC") has charged College Football Hall of Fame coach Jim Donnan and his business partner, Gregory Crabtree, with running an $80 million dollar Ponzi scheme. [read post]
12 Sep 2023, 9:01 pm
That’s why we’re updating our rules for the technology and business models of the 2020s. [read post]
2 Jul 2018, 5:25 am
The reason: as long as there are investors willing to believe that they can effectively get something for nothing, there will be swindlers out there eager to take their money.In a recent Securities and Exchange Commission complaint, the SEC alleged that insurance broker James E. [read post]
24 Oct 2011, 12:10 pm
The De Larosière report highlighted that one of the problems leading to the financial crisis was an inconsistent implementation of financial services rules leading to a fragmented internal market. [read post]
27 Aug 2023, 7:49 pm
Western International Allegedly Failed to Supervise REIT Sales June 2022 – The Securities and Exchange Commission charged Western International Securities and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to… [read post]
7 Apr 2011, 12:00 pm
Securities and Exchange Commission rule that makes it easier for public company shareholders to nominate corporate directors faced tough scrutiny today from a three-judge panel at the U.S. [read post]
28 Jun 2019, 3:00 am
Browder, and Jonathan Tincher In 2018, the Securities and Exchange Commission (the “SEC”) continued to pursue a series of enforcement actions against private equity fund sponsors. [read post]
6 Sep 2016, 12:12 pm
The Securities and Exchange Commission today charged the CEO of a sexual health products retailer and a paid promoter with orchestrating fraudulent promotional campaigns to tout the company’s stock. [read post]
25 Nov 2014, 12:31 pm
Securities and Exchange Commission, 748 F.3d 359 (D.C. [read post]
16 Jun 2023, 7:10 am
On September 28, 2020, the Securities and Exchange Commission (SEC) announced it had settled actions against two public companies for improperly reporting their quarterly Earnings Per Share (EPS). [read post]
9 May 2011, 7:59 am
Anyone but the most trusting investor recognizes that Securities and Exchange Commission filings contain more than a little puffery and marketing folderol, especially when it comes to executive pay and benefits. [read post]
18 Feb 2022, 6:02 am
Background To address Section 953(a) of the 2010 Dodd-Frank Act, the Securities and Exchange Commission (SEC) published Proposed Rules in 2015 to address the Act’s stipulation that companies disclose information to show the relationship between actual compensation paid to executives and a company’s financial performance. [read post]
29 Jun 2011, 8:30 am
Bring back the days of unrestrained excess, deception, and de-regulation of Wall Street.One of their strategies is to choke funding to two of the agencies which are critical to the implementation and enforcement of the financial reform law, the Securities and Exchange Commission and the Commodity Futures Trading Commission.Last week, Republican Senate Minority Leader Mitch McConnell stated that "anything we can do to slow down, deter or impede their ability to engage… [read post]
12 Apr 2012, 12:19 pm
Very helpfully, the Securities and Exchange Commission, moving very quickly, has issued several sets of frequently asked questions about the Jumpstart our Business Startups (JOBS) Act signed into law last week. [read post]
12 Nov 2018, 6:30 am
Unregistered Broker-Dealer The Securities and Exchange Commission imposed sanctions against TokenLot LLC, an “ICO Superstore,” for its sales of digital tokens to the general public through a website. [read post]
3 Nov 2006, 10:43 pm
As noted by MINURSO, "while the organisation of the referendum has not been possible to date, other requirements of the mandate such as the exchange of prisoners of war and the identification of voters have been pursued successfully. [read post]
11 Feb 2011, 8:00 am
The lawsuit brought against the Securities and Exchange Commission last fall by the U.S. [read post]
1 Mar 2018, 3:33 pm
On February 21, the Securities and Exchange Commission issued new Interpretive Guidance regarding disclosures of cybersecurity-related information by publicly traded companies. [read post]
23 May 2011, 5:05 am
The underlying actions were brought by persons who had purchased mortgage pass-through certificates, registered with the Securities and Exchange Commission (“SEC”) and entitling them to distributions from underlying pools of mortgages. [read post]
