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18 Jan 2010, 1:58 pm
Indeed, SEC staff have taken significant steps in this regard even before the court issued its mandate. [read post]
15 Mar 2022, 7:14 am
The SEC has again given an award to a whistleblower. [read post]
13 Feb 2011, 5:00 am
In Securities and Exchange Commission (“SEC”) v. [read post]
21 Jul 2011, 10:10 am
She also noted that it is in the interest of the financial industry to have expert people in the SEC, and the enactment of HR 2434 in its current form would be harmful in that regard.HR 2434 would provide an appropriation of $1,185,000,000 for the SEC, which is the same as fiscal year 2011. [read post]
6 Dec 2021, 7:10 am
The lack of a rewards program is a major difference between the FCA and the SEC. [read post]
13 Dec 2022, 10:15 am
Read more SEC news on WNN. [read post]
13 Nov 2012, 2:41 pm
SEC Enforcement matters usually begin with a Formal Order of Investigation, which are now issued by the regional offices (as opposed to SEC headquarters). [read post]
13 Nov 2012, 2:41 pm
SEC Enforcement matters usually begin with a Formal Order of Investigation, which are now issued by the regional offices (as opposed to SEC headquarters). [read post]
6 Mar 2012, 5:00 am
SEC Speaks is a special forum. [read post]
21 Oct 2013, 4:06 am
SEC Chair White: A Speech on Agency Independence Recently, SEC Chair Mary Jo White delivered this speech about the importance of independence for the SEC. [read post]
19 Oct 2022, 12:29 pm
Securities and Exchange Commission (SEC) and the media, The Washington Post reports. [read post]
1 Dec 2010, 6:42 am
The SEC Staff on M&A We have posted the transcript of our popular webcast: "The SEC Staff on M&A. [read post]
27 Jan 2014, 7:41 am
The SEC is also focused on insider trading. [read post]
31 Jul 2020, 8:58 am
I previously wrote about the SEC’s last risk alert on ransomware here. [read post]
6 Apr 2023, 12:00 pm
The SEC typically initiates an examination of new-to-SEC registration investment advisers within the first year of registration. [read post]
16 Oct 2014, 7:00 am
It is well worth reading, and not simply because it quotes me and my article on Responding to an SEC Subpoena. [read post]
30 Apr 2012, 6:00 am
There was plenty of debate when the SEC adopted its new whistle blower bounty program. [read post]
11 Sep 2009, 8:41 am
" Apologies now out of the way, we can expect increased regulatory zeal from the SEC, and likely from other regulators as well. [read post]
22 Feb 2016, 1:41 pm
It is about time someone addressed the abuses in the SEC system.Lawmaker wants to give SEC defendants greater rightsRelated Articles:The Securities Law Blog: SEC's Use of Administrative Hearings Under FireHow the SEC Avoids Judicial Oversight and the ConstitutionJudge Rakoff Questions the SEC's Overuse of Administrative ...SEC Faces Challenges Over the Constitutionality of Some of its Court Proceedings. [read post]
16 Aug 2021, 5:00 am
In mid-2019, Moniodes joined two other department heads on a conference call to the SEC. [read post]
