Search for: "U. S. Securities and Exchange Commission"
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11 Nov 2011, 6:05 am
Securities and Exchange Commission. [read post]
10 Nov 2011, 1:40 pm
Pope, Crowdfunding Microstartups: It's Time for the Securities and Exchange Commission to Approve A Small Offering Exemption, 13 U. [read post]
28 Oct 2011, 6:57 am
The Securities and Exchange Commission and other regulators have now begun their own inquiries into the $687 million payout, according to people briefed on the inquiries. [read post]
27 Oct 2011, 5:46 pm
The Federal Bureau of Investigation began looking into the case two weeks ago, and the Securities and Exchange Commission and other regulators have now followed suit. [read post]
27 Oct 2011, 7:29 am
The party's spouse, and iii. [read post]
26 Oct 2011, 7:46 am
Rajaratnam’s trial in March, when the Securities and Exchange Commission filed an administrative proceeding against him. [read post]
7 Sep 2011, 7:35 pm
… The U. [read post]
7 Sep 2011, 1:07 pm
S. [read post]
14 Aug 2011, 7:28 pm
Dam, From the Gold Clause Cases to the Gold Commission: A Half Century of American Monetary Law, 50 U. [read post]
14 Aug 2011, 7:28 pm
Dam, From the Gold Clause Cases to the Gold Commission: A Half Century of American Monetary Law, 50 U. [read post]
28 Jul 2011, 6:43 am
He began with a position at the Securities and Exchange Commission in the early 1940? [read post]
23 Jun 2011, 6:19 am
Supreme Court concluded that Janus Capital Management (JCM) cannot be held liable in a private suit under the Securities and Exchange Commission's Rule 10b-5 for drafting allegedly misleading prospectuses for the mutual funds it advises. [read post]
15 Jun 2011, 5:00 pm
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [read post]
13 Jun 2011, 9:00 am
Receiving or transporting any money, valuable securities or other property knowing the same to have been obtained pursuant to a criminal act. 15. [read post]
11 Jun 2011, 3:33 pm
Although the U S Securities and Exchanges Commission (SEC) has publicly stated that the July 21, 2011 deadline for "Mid-Sized Investment Advisers" to register with the States will likely be moved, as of yet there is no rule formally postponing the deadline. [read post]
10 Jun 2011, 4:50 pm
EPJ Fund alleges that Halliburton made various misrepresentations designed to inflate the company’s stock price, in violation of §10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b–5. [read post]
10 Jun 2011, 1:32 pm
Robbins, 519 U. [read post]
10 Jun 2011, 8:38 am
The Securities and Exchange Commission’s warning urged investors to be careful in transactions with reverse merger companies due to “instances of fraud and other abuses” that have resulted in investor losses. [read post]
9 May 2011, 10:00 am
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
3 May 2011, 5:50 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission are struggling to fill crucial jobs, enforce new rules, upgrade market surveillance technology and pay for travel. [read post]
