Search for: "In Re Securities and Exchange Commission"
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29 Jul 2013, 7:45 am
Securities laws require accurate disclosure of all material information.[3] Rule 10b-5 of the Securities Exchange Commission (SEC) prohibits any person from making “any untrue statement of material fact” or from omitting “a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. [read post]
18 Oct 2022, 6:32 am
Securities and Exchange Commission. [read post]
29 Mar 2010, 9:44 am
Another key officer, former Treasurer Rich Paongo has quietly left Overstock.com (NASDAQ: OSTK) amid an ongoing Securities and Exchange Commission investigation of financial reporting violations by the company. [read post]
27 Jun 2011, 5:00 am
The SEC extended the deadline for private fund managers to register with the Securities and Exchange Commission as investment advisers from July 21, 2011 to March 30, 2012. [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
17 Mar 2018, 5:37 am
Securities and Exchange Commission. [read post]
6 Aug 2007, 9:10 am
There's also the NYSE, the New York Stock Exchange. [read post]
18 Apr 2007, 12:29 am
In any event, before I begin, I must remind you that the comments I make today are my own and do not reflect the opinions of the staff or the other Commissioners of the Securities and Exchange Commission.Let me start by noting that in the nearly five years in which I've worked with IOSCO, I've never seen more interest with respect to the growing globalization of the securities markets and international securities regulation than in the last few months. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
31 May 2023, 9:33 am
The Securities and Exchange Commission (SEC) has explained that “as investor demand for climate and other environmental, social, and governance (ESG) information soars, the SEC is responding with an all-agency approach” that reflects the risks and opportunities of ESG and climate investing. [read post]
18 Sep 2024, 9:01 pm
In 1975, Congress tasked the Securities and Exchange Commission with responsibility to facilitate the establishment of the national market system and enhance competition in the securities markets, including the equity markets. [read post]
27 Apr 2022, 9:59 am
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
5 Jan 2007, 5:51 am
A late December move by the Securities and Exchange Commission, altering the way in which U.S. companies must report the value of executive stock-option grants, is being criticized by investors and a key lawmaker as ill-conceived and poorly timed. [read post]
23 Nov 2015, 3:15 pm
Under these requirements, a prospective exchange must file with the Securities and Exchange Commission (“SEC”) its “rules of the exchange” designed to allow the exchange to regulate the conduct of its members so as to protect investors and the public interest. [read post]
26 May 2018, 10:10 am
While the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) routinely issue alerts warning investors of new trends in investment fraud scams, it is not often that they highlight the same risks at the same time. [read post]
3 Feb 2008, 10:42 pm
Background While the decision of the Second Circuit Court of Appeals binds many public companies of that specific jurisdiction, the SEC must now decide whether to propose a clarifying change to Rule 14a-8(i)(8) ("the Rule"), binding all companies subject to Federal Securities Law and alleviating courts of difficult interpretation. [read post]
13 May 2013, 6:24 am
In July 2011, we co-chaired a committee of ten corporate and securities law experts that petitioned the Securities and Exchange Commission to develop rules requiring public companies to disclose their political spending. [read post]
25 Jul 2022, 9:01 pm
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
18 Nov 2016, 7:53 am
Rubin of the USMC replaced Captain Waits as the military judge presiding over the commission. [read post]
