Search for: "In Re Securities and Exchange Commission"
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23 Apr 2018, 1:23 pm
Embassy Togo, inspects the seized ivory (2014)News outlets around the United States have picked up and expanded upon an Associated Press story about the whistleblower complaint to the Securities and Exchange Commission (SEC) lodged against Facebook. [read post]
30 Nov 2015, 7:17 am
There has been considerable discussion in the compliance community around the Securities and Exchange Commission bringing charges against compliance officers. [read post]
16 Apr 2010, 12:42 pm
On Wednesday we gave you a preview, courtesy of Reuters, of a mortar that would be launched at the Securities and Exchange Commission by its watchdog, Inspector General David Kotz, for failing to uncover the allege $8 billion Ponzi scheme run by Allen Stanford. [read post]
20 Oct 2016, 5:00 am
For one, the staff updated Question 271.04, which is one of the Securities Act rules C&DIs for general situations, to re-phrase the question and to expand upon the prior answer.That question involved a non-Exchange Act reporting company that issued options in reliance on Securities Act Rule 701 that is later acquired by an Exchange Act reporting company such that the private company’s options become exercisable for shares of the acquirer. [read post]
30 Sep 2022, 2:26 pm
As commissions on traditional stocks and bonds have decreased in recent years, these complex products also come with complex fees and commissions which can go to the brokerage firm’s bottom line. [read post]
15 Apr 2015, 5:17 am
Charles Ponzi The Securities and Exchange Commission brought charges against James Evans for engaging in a “Ponzi scheme. [read post]
14 Feb 2013, 6:21 am
At the beginning of the first Obama administration, the United States Securities and Exchange Commission (SEC or the Commission) was an agency on the ropes, with some knowledgeable observers even speculating that it might not survive the revision to the financial regulatory apparatus that was anticipated in the wake of the financial crisis. [read post]
3 Feb 2011, 9:59 am
BNA reports: The Securities and Exchange Commission is examining statements made by the state of Illinois regarding potential benefits stemming from a pension reform law enacted by state lawmakers last year, a spokeswoman for Gov. [read post]
20 Apr 2020, 12:19 pm
There are also related security and privacy risks. [read post]
2 Aug 2022, 9:09 am
Securities and Exchange Commission Gurbir S. [read post]
12 Jan 2009, 7:55 am
The staff of the Securities and Exchange Commission has ruled that SunTrust Banks may omit a labor proposal that seeks stricter executive pay limits than imposed by the federal Troubled Asset Relief Program (TARP). [read post]
12 Jan 2007, 2:35 pm
When we saw this week that the Securities and Exchange Commission had settled its case against William Sorin, the former general counsel of Mass. [read post]
17 Mar 2017, 10:12 am
As the long exchange continues, Judge Spath again makes the point that at the end of the day, there are still protections in place to make sure classified information does not get out at trial, and that the national security interest is still protected because the defense team is cleared counsel: “If Mr. [read post]
23 Nov 2021, 3:15 am
This excerpt from the SEC’s press release summarizes the proceeding: The Securities and Exchange Commission today announced that Texas-based oilfield services company ProPetro Holding Corp. and its founder and former CEO Dale Redman have agreed to settle charges that they failed to properly disclose some of Redman’s executive perks and two stock pledges. [read post]
10 Feb 2022, 6:21 am
Securities and Exchange Commission. [read post]
18 Jan 2021, 6:46 am
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is urging investors to be on high alert to avoid falling victim to investment fraud. [read post]
10 Nov 2017, 1:27 pm
A May 1983 National Law Journal story said O’Hanley plagiarized parts of an article on the legal protection known as double jeopardy written by an attorney who had attended Vanderbilt as an undergraduate.(...)In a 2006 speech at Vanderbilt, one of O’Hanley’s classmates, Paul Atkins — a commissioner with the Securities and Exchange Commission at the time — cited the matter without naming O’Hanley. [read post]
26 Apr 2022, 12:23 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
30 Jan 2023, 9:41 am
One tactic was to suggest to the customer that he sell a specific security, then re-buy it several days or weeks later. [read post]
3 Dec 2020, 3:40 am
(See our previous blog here for a summary of the Commission’s European Strategy for Data.) [read post]
