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26 Oct 2009, 2:22 pm
Securities and Exchange Commission continue their probes? [read post]
14 Sep 2009, 4:35 pm
Please make all checks payable to the "Southeastern Hedge Fund Association, Inc. [read post]
9 Sep 2009, 10:24 am
., Inc., and North American Financial Services were sued yesterday by the Securities and Exchange Commission. [read post]
18 Jul 2009, 7:31 am
Without question, the first six months of 2009 have been a period of sharply increased enforcement activity at the Securities and Exchange Commission. [read post]
4 Jun 2009, 11:52 am
A recent study entitled Effectiveness of Hybrid Boards (May 2009), prepared by Proxy Governance, Inc., deals indirectly with this issue, although it does not purport to prove that director nominated shareholders improve director accountability. [read post]
5 May 2009, 11:17 am
Renato Negrin, a former portfolio manager at hedge fund investment adviser Millennium Partners L.P., and Jon-Paul Rorech, a salesman at Deutsche Bank Securities Inc., are charged with insider trading in credit default swaps of VNU N.V., an international holding company that owns Nielsen Media and other media businesses. [read post]
23 Apr 2009, 4:20 am
Securities and Exchange Commission, the principal laws that protect investors and preserve business integrity are (i) the Securities Act of 1933, (ii) the Securities Act of 1934, (iii) the Trust Indenture Act of 1939, (iv) the Investment Company Act of 1940, (v) the Investment Advisers Act of 1940, and (vi) the Sarbanes-Oxley Act of 2002. [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 targeted by… [read post]
23 Feb 2009, 12:02 pm
In its complaint, the SEC alleges that SIB's CDs are not as liquid and secure as touted and that only Stanford and Davis know the details of SIB's investment portfolio. [read post]
1 Nov 2008, 12:20 am
He says the SEC should have taken more time to evaluate Bear Stearn's 2006 annual report and get additional information from the investment firm, which would have required the company to reveal more information about its mortgage portfolio to investors. [read post]
28 Aug 2008, 5:49 pm
In July 2007, stockbrokers and financial advisors at Lehman Brothers, Inc., JPMorgan Securities, Inc. and other brokerage firms recommended that their clients purchase shares of ShoreTel, Inc., a California-based communications equipment company that was engaged in an initial public offering, or "IPO. [read post]
23 Aug 2008, 1:23 am
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: DRM for streaming music dies a quiet death: (Electronic Frontier Foundation), (Techdirt) CAFC decides Apotex and Impax infringed AstraZeneca’s Prilosec patents: (Law360), (Patent Prospector), (Patent Docs), (GenericsWeb), CAFC upholds lower court’s decision finding USPTO was within its rights to subject a Cooper patent to… [read post]
9 Aug 2008, 1:50 am
: (Patenting Lives), Worldwide increase in patent filings puts strain on system: (Managing Intellectual Property), WIPO releases 2008 Worldwide Patent Report: (Peter Zura's 271 Patent Blog), (Patent Prospector), (IP Updates), Global patent filings continue rise but may level off; smaller nationals slipping: (Intellectual Property Watch), Means plus function: Don’t ignore the man behind the curtain: (Intellectual Property Directions), Technology start-up entrepreneurs and CEOs: If your… [read post]
5 Aug 2008, 3:36 pm
At S&P, revenue from rating the mortgage-laden bond portfolios grew more than 800% from 2002 to 2006, but related staffing doubled. [read post]
20 Jun 2008, 8:47 am
District Judge Thomas Porteous of New Orleans, La. to the House of Representatives for Impeachment06/19/2008
Manager's Package to the Commerce, Justice and Science Appropriations Bill for Fiscal 2009, S.G.W. 202 (PDF 193 KB) As Adopted by the Senate Appropriations Committee on June 19, 2008
© Copyright GalleryWatch.com, Inc. (1999 - 2008), provided under license.NO CLAIM TO ORIGINAL U.S. [read post]
30 Jan 2008, 12:09 am
Lawyers are setting up "IP investment banks" that buy and sell patents, and advise companies on new ways to monetize their IP portfolios. [read post]
15 Jan 2008, 3:06 am
International Securities Exchange, LLC filed 01/31/07 1:07-cv-00643 Baseball Marketing Ideas, L.L.C. v. [read post]
7 Nov 2007, 12:28 am
Within the same cost-effective, out-of-the-box message infrastructure, Interwoven P2P provides the ability to use any existing standard, or exchange custom messages between two parties. [read post]
20 Sep 2007, 2:50 pm
Also in July, the New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
21 Aug 2007, 8:01 pm
Buffett's traditional bargain-hunting investment strategy has been partly stymied as debt-fueled private-equity funds and hedge funds drove asset prices out of his value-investing orbit. [read post]
