Search for: "U. S. Securities and Exchange Commission"
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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]
21 Jul 2009, 3:49 am
The Securities and Exchange Commission requires that individuals who want to enter the securities industry to sell any type of securities must take and pass the Series 7 examination to qualify as a general securities representative. [read post]
26 Jun 2009, 4:22 pm
Here's an exchange between the Chancellor and the Dean about what jobs would be appropriate in exchange for admitting politically connected students: I suppose there are worse things than a Dean trying to aggressively secure employment for her law graduates that can't pass the bar and can't think. [read post]
3 Jun 2009, 7:03 am
Anyway, I figure, if my client can e-mail from a federal maximum security prison, maybe it's not so crazy that a county jail inmate can tweet from a county jail. [read post]
2 Jun 2009, 12:10 pm
Citigroup and the U. [read post]
11 Apr 2009, 7:48 am
S. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
17 Feb 2009, 11:15 am
In the wake of Bernard Madoff's alleged $50 billion Ponzi scheme, the United States Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies with orchestrating multi-billion dollar fraudulent investment schemes. [read post]
7 Feb 2009, 5:58 am
S. [read post]
3 Feb 2009, 5:57 am
S. prosecutors and the Securities and Exchange Commission apparently have been investigating the matter for two years. [read post]
29 Dec 2008, 10:39 am
While they worked for Stanford, the two men allegedly discovered that the company engaged in several unethical and illegal business practices, such as the deletion of certain electronic data in the wake of a Securities and Exchange Commission probe and the inflation of certain asset values in order to mislead potential customers. [read post]
17 Dec 2008, 9:25 am
– Christopher Cox, SEC Chairman, referring to the Commission’s failure to investigate Bernard Madoff The SEC’s review of its own oversight (or lack thereof) of Bernie Madoff’s securities-trading and investment-management firm will cast a spotlight on two lawyers who apparently began dating in 2006, fell in love and married last year. [read post]
22 Nov 2008, 4:28 pm
Boshamer Distinguished Professor of Law at the U. [read post]
27 Oct 2008, 9:26 am
To join with the surviving spouse, the executor of his or her will or the administrator of his or her estate in the execution and filing of a joint income tax return for any period prior to the death of a decedent for which he has not filed a return or a gift tax return on gifts made by the decedent's surviving spouse, and to consent to treat the gifts as being made one-half by the decedent, for any period prior to a decedent's death, and to pay taxes thereon as are… [read post]
19 Sep 2008, 10:09 am
Texas Provides Guidance on Filing Electronic Form DThe Texas Securities Board issued the following bulletin on electronic filing of Form D in the State:On February 6, 2008, the Securities and Exchange Commission (SEC) mandated the electronic filing of Form D. [read post]
5 Aug 2008, 7:12 pm
Finnerty moved to dismiss the indictment on the ground that neither interpositioning nor trading ahead is deceptive or manipulative, and, as a result, his conduct did not constitute fraud under Section 10(b) of the Securities Exchange Act of 1934 and Securities & Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
26 Mar 2008, 11:54 pm
Securities & Exchange CommissionFriday, April 11, 2:45 pm"Foreign Ministry Legal Advisers' Roundtable": MarÃÂa del Luján Flores (left), Permanent Mission of Uruguay to the Organization of American StatesSaturday, April 12, 9 am"Universal Jurisdiction: It's Back! [read post]
23 Oct 2007, 9:22 pm
Two items from the nation's capital: (1) Jim Cox, corporate, securities and accounting scholar at Duke, is being mentioned around town as an excellent candidate for appointment as Commissioner of the Securities and Exchange Commission. [read post]
