Search for: "In Re Securities and Exchange Commission"
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25 Jul 2022, 9:01 pm
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
19 Apr 2017, 9:09 am
Court of Appeals for the 11th Circuit subsequently broke from the herd in Securities and Exchange Commission v. [read post]
6 Mar 2023, 9:01 pm
This conference is part of the New Special Study of the Securities Markets (the “New Special Study”),[1] which is an ambitious effort to critically re-think how the securities markets should be regulated in the 21st century. [read post]
18 Feb 2010, 2:15 pm
The Wall Street Journal reported that the Securities and Exchange Commission will begin examining the marketing of retirement products known as target-date mutual funds. [read post]
26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
10 Apr 2012, 12:36 pm
Norris (“Norris”) petitions for review of an arbitrator’s decision affirming his removal from his position as a Trial Attorney with the Securities and Exchange Commission (“SEC”). [read post]
22 Apr 2012, 10:15 pm
Plaintiffs claim the CFTC final rule failed to explain its reversal of a 2003 decision not to regulate an area already regulated by the Securities and Exchange Commission. [read post]
8 Feb 2018, 4:43 am
Here’s the intro from this WSJ article by Dave Michaels and Andrew Ackerman: Scott Garrett, a former Republican lawmaker known for criticizing what he considered government overreach by Wall Street regulators, has landed a senior role at the Securities and Exchange Commission. [read post]
27 Apr 2007, 9:58 am
The Securities and Exchange Commission proposed recommendations in December that instruct managers to focus on items most likely to cause financial misstatements.I don't share Steel's optimism. [read post]
3 Nov 2008, 8:47 pm
Four former executives of General Re Corp. and a former executive of AIG were convicted in February of conspiracy, securities fraud, mail fraud and making false statements to the Securities and Exchange Commission. [read post]
18 Nov 2010, 1:43 am
For example, in response to the global financial crisis, the US Securities and Exchange Commission recently adopted new rules enhancing disclosure of risk oversight by the board of directors, executive remuneration, and conflicts of interest of compensation consultants. [read post]
8 Jul 2010, 10:31 am
The Securities and Exchange Commission is investigating the sale of $200 million in collateralized debt obligations (CDOs) to several Wisconsin school districts, according to a recent Wall Street Journal article by Meena Thiruvengadam and Kelly Nolan (“SEC Investigates Failed CDOs Sold to Wisconsin Schools”). [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
27 Jun 2024, 9:05 pm
Securities and Exchange Commission (SEC) violated the right to a jury trial guaranteed by the Seventh Amendment of the U.S. [read post]
15 Feb 2018, 1:30 pm
Finally, Rubin directed the government to re-mark the transcript of al-Darbi’s direct examination for release to the defendant and to process in the normal manner any additional discovery and reclassification requests from the defense. [read post]
4 Oct 2010, 9:29 am
False convictions are by definition "legal" until they're overturned by the appellate courts. [read post]
11 Nov 2021, 6:10 am
Securities and Exchange Commission. [read post]
