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26 Jan 2023, 9:05 pm
The SEC’s regulatory agenda for 2023 hints at additional governance-related rules that would continue this trend. 10b5-1 Trading Plans Starting in late 2021, the SEC’s proposed rulemaking on the use of Rule 10b5-1 trading plans by companies, directors and executive officers kicked off the regulation of what had previously been the domain of market practice-based corporate governance.[2] The proposed rules would have gone so far as to impose mandated blackout periods for… [read post]
12 Dec 2011, 5:45 pm
SIPC does retain authority to increase its member assessments should its assets run low. [read post]
5 Sep 2009, 2:17 am
He is highly ranked among the top attorneys in the country, with an AV rating from Martindale-Hubbell and a perfect 10 on Avvo.com. [read post]
16 Jun 2022, 9:05 pm
”[10] Thus, the SEC mandated extensive disclosure of environmental proceedings, making clear that the Commission would recalibrate this disclosure standard over time. [read post]
29 Aug 2012, 12:10 pm
The SEC says that while the defendants are invoking a registration exemption that exists under Rule 504(b)(1)(iii) of Regulation D, the Commission contends that this does not apply to these types of sales. [read post]
14 Mar 2023, 9:05 pm
We also examine whether any of the following means by which enhanced 8-K disclosures could positively affect innovation is supported by the data: (1) bolstering managers’ incentives to innovate; (2) facilitating investor monitoring; and (3) increasing innovation inputs. [read post]
19 Oct 2010, 10:56 am
The $1.3 billion loan is expected to be funded by a group of institutional investors and commercial banks led by Citi, as lender-applicant and joint lead arranger, and three other joint lead arrangers, the Bank of Tokyo-Mitsubishi UFJ, Ltd., RBS Securities and WestLB Securities Inc. [read post]
5 Nov 2018, 7:04 am
The SEC, in an administrative proceeding, charged Lorenzo, director of investment banking at registered broker-dealer Charles Vista, LLC, with violating Securities Act Section 17(a)(1), Exchange Act Section 10(b), and Exchange Act Rules 10b-5(a), (b), and (c) for sending emails that contained false or misleading statements to investors at the behest of Lorenzo’s boss. [read post]
26 Jul 2023, 9:01 pm
”[1] In 2018, the Commission issued interpretive guidance to assist public companies in fulfilling their obligation to “take all required actions to inform investors about material cybersecurity risks and incidents in a timely fashion, including those companies that are subject to material cybersecurity risks but may not yet have been the target of a cyber-attack. [read post]
30 Apr 2013, 10:15 am
These include the following: 1. [read post]
4 Mar 2020, 2:18 pm
In that case, a group of Australian investors who had purchased shares of National Australia Bank on the Australian Stock Exchange claimed that an executive of the bank’s Florida-based subsidiary had made false and misleading statements, which were repeated in the bank’s securities filings in violation of Section 10(b) of the Securities Exchange Act of 1934. [read post]
14 Aug 2022, 8:22 am
The deferred payment consisted, in relevant part, of Fertitta’s agreement to pay FAST $26 million by August 18, 2022 if it does not consummate an business combination by August 1, 2022 and determines to redeem its public shares and liquidate. [read post]
28 Apr 2008, 8:47 am
Another 10 percent of investors abstained from voting on the pay package, bringing the total dissent to 61 percent, the highest vote against a remuneration report at a large U.K. company since the country instituted advisory pay votes in 2003. [read post]
2 Mar 2012, 8:16 pm
Answer #10 An H-1B nonimmigrant visa is valid for a period of 3 years. [read post]
27 Aug 2018, 3:41 pm
July 10, 2018, no pet.) [read post]
26 May 2012, 9:55 am
U.S. investors represented the largest number of ICA investors over the past five years, followed by EU investors (with U.K. investors representing a large percentage by asset value). ____________________ For more information about our regulatory law services contact: contact [read post]
16 Feb 2024, 6:39 am
How SEC Whistleblower Awards Are Determined The general rule for the award amount is 10% to 30% of all monetary fines collected from the entities in question based on a judgment in excess of $1 million. [read post]
12 Nov 2020, 3:00 am
Here are the results: 1. [read post]
22 May 2017, 3:00 am
However, you probably noticed that for years 1 through 5 you have a problem. [read post]
22 May 2017, 3:00 am
However, you probably noticed that for years 1 through 5 you have a problem. [read post]
