Search for: "In Re Securities and Exchange Commission"
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14 Jul 2014, 2:43 pm
Private equity firms were put on notice last year that they may be subject to registration as broker dealers when David Blass, head of the Division of Markets and Trading at the Securities and Exchange Commission (“SEC”), provided his insights at an industry conference. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
30 Mar 2010, 5:00 am
The opinion noted that under federal law, companies must register with the Commission to the extent having "500 or more record holders of a class" of equity securities and that in counting equity securities, "DTC does not count as a single holder of record. [read post]
26 Oct 2009, 3:49 pm
Apparently, Overstock.com (NASDAQ: OSTK) is going to stubbornly tough it out and force the Securities and Exchange Commission to take enforcement action to make its financial reports comply with Generally Accepted Accounting Principles (GAAP). [read post]
19 Mar 2010, 9:58 am
By selling privately to high net worth investors, promoters avoid having to register the securities with the Securities and Exchange Commission, and the regulatory scrutiny that would come with registration. [read post]
11 Feb 2017, 6:50 am
Tags: Africa, Dodd-Frank, Securities and Exchange Commission Good riddance (if they’re indeed going) to the Dodd-Frank conflict minerals rules is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
20 Sep 2011, 5:18 am
DOL said that, consistent with the President's January executive order on regulation, the re-proposal will be designed to inform judgments, ensure an open exchange of views and protect consumers while avoiding unjustified costs and burdens. [read post]
21 Nov 2007, 8:34 am
Securities and Exchange Commission not to roll back investors' proxy access rights. [read post]
26 Jul 2011, 10:32 am
Sterling Holding Co., LLC, 544 F.3d 493, 502 (3d Cir. 2008) (holding that National Cable requires deference to the Security and Exchange Commission’s amendments to a regulation over a prior contrary judicial interpreta- tion); see also Udall, 380 U.S. at 16–17 (“When the con- struction of an administrative regulation rather than a statute is in issue, deference is even more clearly in order. [read post]
16 Nov 2015, 3:58 pm
In a long-awaited move, on October 30, 2015 the Securities Exchange Commission (SEC) finally adopted a set of rules mandated by the 2012 JOBS act. [read post]
29 Jul 2013, 7:45 am
Securities laws require accurate disclosure of all material information.[3] Rule 10b-5 of the Securities Exchange Commission (SEC) prohibits any person from making “any untrue statement of material fact” or from omitting “a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. [read post]
15 Aug 2014, 5:00 am
The Plaintiffs next argue that the Arbitration Bylaw is “contrary to the SEC’s policies underlying federal securities laws,” particularly the anti-waiver provision of Section 29(a) of the Securities Exchange Act, and “frustrates shareholders’ statutory rights to attorneys’ fees and expenses pursuant to the Private Securities Litigation Reform Act of 1995 [], 15 U.S.C. [read post]
4 Mar 2011, 7:04 am
(In re Cyphermint, Inc.) [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
21 Jun 2018, 9:33 am
Today, the United States Supreme Court sent shock waves through the securities industry as well as the United States Securities and Exchange Commission’s (“SEC”) enforcement program when it held that SEC administrative law judges (“ALJ”) are “inferior officers,” and must be chosen pursuant to the appointments clause of the United States Constitution. [read post]
6 Aug 2007, 9:10 am
There's also the NYSE, the New York Stock Exchange. [read post]
2 Aug 2021, 8:51 am
SEC Charges Real Estate Executive With Defrauding Vestin REIT Investors According to the Securities and Exchange Commission on July 30, the regulator is charging an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
18 Oct 2022, 6:32 am
Securities and Exchange Commission. [read post]
29 Mar 2010, 9:44 am
Another key officer, former Treasurer Rich Paongo has quietly left Overstock.com (NASDAQ: OSTK) amid an ongoing Securities and Exchange Commission investigation of financial reporting violations by the company. [read post]
27 Jun 2011, 5:00 am
The SEC extended the deadline for private fund managers to register with the Securities and Exchange Commission as investment advisers from July 21, 2011 to March 30, 2012. [read post]
