Search for: "In Re Securities and Exchange Commission" Results 441 - 460 of 2,530
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20 Jan 2022, 12:16 pm by Kevin LaCroix
  For example, in In re: Tal Education Group Securities Litigation, the U.S. [read post]
17 Jan 2023, 6:11 am by Dan Bressler
Securities and Exchange Commission’s lawsuit to force Covington & Burling to cough up the names of about 300 clients whose confidential information was exposed to hackers in a 2020 cyberattack. [read post]
12 Nov 2009, 7:57 pm
The Securities and Exchange Commission settled charges against SafeNet Inc. [read post]
25 May 2023, 9:01 pm by renholding
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
7 Dec 2009, 7:34 am
For the respondents, one of their amici: Professor Richard Pildes, New York University Law School (counsel for the amicus Former Chairmen of the Securities and Exchange Commission). [read post]
23 Nov 2008, 4:54 am
In January 2008, the Securities and Exchange Commission discovered that Overstock.com's revenue accounting failed to comply with Generally Accepted Accounting Principles (GAAP), since the company's inception. [read post]
7 Apr 2015, 2:13 pm
This post considers recent action by the SEC.In August 2011 the SEC adopted rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection. [read post]
8 Aug 2011, 12:47 pm by Matthew Huisman
He represented the board in disciplinary action before the board’s hearing officer and worked with the Securities and Exchange Commission. [read post]
4 Oct 2019, 6:00 am
Securities and Exchange Commission, on Friday, September 27, 2019 Tags: Broker-dealers, Disclosure, Exchange-traded funds, OTC derivatives, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Analysis of IAC Recommendations to Improve U.S. [read post]
30 Jul 2012, 12:01 am by tekEditor
Every publicly held corporation whose stock trades in the United States is required by the Securities and Exchange Commission to file a detailed annual report (Form 10-K) at the end of its fiscal year. [read post]
11 May 2007, 3:38 am
Mar. 19, 2007):Although plaintiffs try to reconcile the cases, the Eighth and Ninth Circuits have split with respect to the scope of primary liability for secondary actors.FN24 The district court adopts a rule advocated by the Securities and Exchange Commission ("SEC"), in an amicus curiae brief before the Ninth Circuit, under which primary liability attaches to anyone who engages in a "transaction whose principal purpose and effect is to create a false… [read post]
7 Oct 2021, 9:07 am by Silver Law Group
In September 2021, the Securities and Exchange Commission (SEC) announced that it had paid out more than $1 billion in rewards to whistleblowers since its new program began. [read post]
17 Feb 2010, 7:29 pm by Andrew Perlman
  The summary of the exchange between our own Stephen Gillers and Larry Fox is definitely worth a read for anyone interested in the topic. [read post]
23 Apr 2018, 2:33 pm by Ronald Mann
Securities and Exchange Commission, they were well aware of the implications the decision holds for the administrative state. [read post]
10 Mar 2010, 6:40 am by Betsy McKenzie
“We intend to use every available means to shut down this illicit operation,’’ Harbeck said.The US Securities and Exchange Commission issued a statement about the group’s posing as an international branch of the SIPC. [read post]
29 May 2010, 6:15 am by Steven Peck
They are not only good in issues of litigation such as when you are being investigated for securities fraud by the Security and Exchange Commission or when a customer charges against you for product liability. [read post]
2 Dec 2016, 9:30 pm by Dan Ernst
Cohen to the Securities and Exchange Commission. [read post]
27 Mar 2023, 9:01 pm by renholding
The Supreme Court Takes On Slack Pirani  The case arises out of the New York Stock Exchange’s (“NYSE”) rule, introduced in 2018, that allows companies to go public through a direct listing. [read post]