Search for: "U. S. Securities and Exchange Commission"
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14 Apr 2010, 5:00 am
Gorga, Érica, 27 U. [read post]
6 Apr 2010, 6:01 am
It has become rare for those charged with making investment decisions to buy or sell stock also to be important players in the share voting process. [1] The reasons for the divorce of investing and voting at institutional investors are: The law of large numbers (too many portfolio companies with too many ballot votes at annual shareholder meetings), and Two seminal decisions by government agencies that regulate our institutional investor community — the US Securities and… [read post]
30 Mar 2010, 10:18 am
(a) A consensus has developed regarding the standard Gartenberg set forth over 25 years ago: The standard has been adopted by other federal courts, and the Securities and Exchange Commission’s regulations have recognized, and formalized, Gartenberg-like factors. ... [read post]
30 Mar 2010, 10:06 am
(a) A consensus has developed regarding the standard Gartenberg set forth over 25 years ago: The standard has been adopted by other federal courts, and the Securities and Exchange Commission’s regulations have recognized, and formalized, Gartenberg-like factors. ... [read post]
9 Mar 2010, 7:39 am
The federal government has awarded more than $107 billion in contracts to firms that also enrich themselves by doing business with Iran, according to an in-depth newspaper article that quotes corporate records filed with the Securities Exchange Commission and congressional reports. [read post]
2 Mar 2010, 6:56 pm
In his opinion, Judge Rakoff agreed with the defendants stating: Pursuant to the Securities Exchange Act of 1934 , 15 U. [read post]
24 Feb 2010, 5:54 am
I enlisted in the Navy in 1948, and served as a Yeoman, Personnelman, Journalist, and Communications Technician, and, as a Petty Officer First Class, received a commission in 1955 through the Integration Program. [read post]
24 Feb 2010, 1:14 am
And when faced with such a challenge, we reject suggestions such as,for example, the one made by petitioner that the mere filing of a form like the Securities and Exchange Commission’s Form 10–K listing a corporation’s “principal execu-tive offices” would, without more, be sufficient proof toestablish a corporation’s “nerve center. [read post]
8 Feb 2010, 5:00 am
Third, there is room for some regulatory intervention both by the Securities and Exchange Commission and Congress. [read post]
26 Jan 2010, 1:53 am
" WRTL, 551 U. [read post]
25 Jan 2010, 5:19 pm
Jos Dumortier http://www.lawfort.be | For further information about DG Enterprise: European Commission - Enterprise and Industry DG, Information and Documentation Centre, BREY 5/150, B - 1049 Brussels, Fax: +32 (0)2 296 99 30, Website http://www.eu.int/comm/dgs/enterprise/index_en.htm). [read post]
17 Nov 2009, 2:14 pm
Securities and Exchange Commission apparently agrees. [read post]
9 Nov 2009, 8:31 am
Securities and Exchange Commission apparently agrees. [read post]
3 Nov 2009, 3:41 am
They also alleged that Vinar was negligent in failing to seek reformation of the National Association of Securities Dealers, Inc., Form U-5 (hereinafter the U-5), provided by the plaintiff's employer to remove an allegedly false or defamatory statement contained therein regarding the reason for the termination of her employment. [read post]
2 Nov 2009, 6:14 pm
The US Securities and Exchange Commission says it will investigate allegations that former Ferris, Baker Watts Inc. general counsel Theodore W. [read post]
2 Nov 2009, 2:15 pm
Securities and Exchange Commission recently completed its investigation of Charles Schwab regarding the YieldPlus Fund. [read post]
11 Oct 2009, 3:47 pm
UT Law Spring 2010 coastal courses: Climate Change Law & PolicyClass Unique #: 28633 Course #: 179M Instructor: Benjamin/Gholz Credits: 1Wednesday 5:30 pm - 7:30 pm Friday 1:30 pm - 4:30 pm Exam type: Early CLASS MEETS JANUARY 20-FEBRUARY 5.What the course is about. [read post]
25 Sep 2009, 7:54 am
Securities and Exchange Commission staff made it clear that they believe that they have ample evidence of price-fixing and bid-rigging of municipal derivatives by JP Morgan, Bear Stearns Cos., Bank of America NA and UBS. [read post]
13 Sep 2009, 10:01 pm
Batchelder, III, offers his views about Securities and Exchange Commission rules and a new statute that aim to cabin pay to corporate titans on The Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
WHAT CONSTITUTES “SUBSTANTIAL EVIDENCE” TO SUPPORT AN SEC FINDING OF A FALSE STATEMENT IN A FORM U-4
31 Aug 2009, 10:49 am
The National Adjudicatory Council and the Securities and Exchange Commission affirmed the findings of the Hearing Panel. [read post]
