Search for: "In Re Securities and Exchange Commission"
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6 Jun 2017, 8:06 am
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
17 Jan 2018, 9:04 am
As we have discussed in previous blog posts, on December 21, 2017, the Securities and Exchange Commission (“SEC”) formally announced charges against the Woodbridge Group of Companies (“Woodbridge”) of Sherman Oaks, CA, as well as Woodbridge’s related unregistered investment funds and the firm’s owner and former CEO, Robert Shapiro. [read post]
30 Jul 2007, 10:53 am
The Securities and Exchange Commission this week unveiled a much-anticipated proposed rule on proxy access that is being criticized by some investors as too onerous and restrictive. [read post]
14 Jun 2023, 9:11 am
In our previous posts, we’ve examined the Securities and Exchange Commission’s (SEC) increased enforcement actions against what are called “special purpose acquisition companies” (SPACs). [read post]
9 Nov 2009, 8:49 pm
However, Overstock.com is stubbornly forcing the Securities and Exchange Commission to take enforcement action to make its financial reports comply with GAAP. [read post]
18 Feb 2013, 2:56 pm
The FCC isn’t special and it doesn’t deserve a special Sunshine Act exemption any more than, say, the Securities and Exchange Commission does. [read post]
17 Mar 2011, 3:40 pm
” The company also provided the information in a document filed with the Securities and Exchange Commission on Thursday, which includes a list of recommendations for customers who might be affected. [read post]
26 Aug 2022, 6:31 am
Securities and Exchange Commission. [read post]
26 Aug 2022, 6:31 am
Securities and Exchange Commission. [read post]
28 Jan 2022, 9:41 pm
Securities and Exchange Commission. [read post]
29 Sep 2022, 8:00 am
Securities and Exchange Commission has recently ratcheted up enforcement of insider trading cases, announcing investigations against ten people in four different cases in July. [read post]
20 Nov 2019, 12:15 pm
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). [read post]
21 Oct 2022, 9:16 am
The Securities and Exchange Commission (SEC) announced the creation of two new offices—an Office of Crypto Assets (OCA) and an Office of Industrial Applications and Services (OIAS)—within its Division of Corporation Finance’s Disclosure Review Program (DRP). [read post]
23 May 2022, 9:22 am
Before sitting down for her now-famous 60 Minutes interview, former Facebook employee Frances Haugen had filed eight complaints with the Securities and Exchange Commission (SEC). [read post]
9 Mar 2010, 3:52 pm
Solow, the Securities and Exchange Commission ("SEC") charged Jamie Solow, a stock broker, with a fraudulent trading scheme involving inverse floating rate collateralized mortgage obligations. [read post]
17 May 2013, 5:00 am
White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. [read post]
16 Nov 2021, 3:00 am
Last week, Securities and Exchange Commission Chair Gary Gensler, made a speech at the Institutional Limited Partners Association Summit. [read post]
13 May 2022, 6:13 am
Seniors need a cop on the beat and we’re here today to do something about it. [read post]
5 Jul 2023, 9:01 pm
The Securities and Exchange Commission (SEC) has proposed rules that could require increased ESG disclosures. [read post]
