Search for: "In Re Securities and Exchange Commission"
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17 Mar 2018, 5:37 am
Securities and Exchange Commission. [read post]
4 Feb 2020, 3:10 pm
On January 27, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued observations gleaned from its examinations related to cybersecurity and operational resiliency practices taken by market participants (the “Observations”). [read post]
17 Jun 2015, 6:37 am
When a fraud is uncovered, the Securities and Exchange Commission no only wants to get the fraudsters, it also wants to get those who should have stopped the fraud. [read post]
19 Aug 2015, 6:59 am
The Securities and Exchange Commission charged BNY Mellon that it violated the Foreign Corrupt Practices Act by providing internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund. [read post]
18 Apr 2007, 12:29 am
In any event, before I begin, I must remind you that the comments I make today are my own and do not reflect the opinions of the staff or the other Commissioners of the Securities and Exchange Commission.Let me start by noting that in the nearly five years in which I've worked with IOSCO, I've never seen more interest with respect to the growing globalization of the securities markets and international securities regulation than in the last few months. [read post]
27 Apr 2022, 9:59 am
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
3 Feb 2008, 10:42 pm
Background While the decision of the Second Circuit Court of Appeals binds many public companies of that specific jurisdiction, the SEC must now decide whether to propose a clarifying change to Rule 14a-8(i)(8) ("the Rule"), binding all companies subject to Federal Securities Law and alleviating courts of difficult interpretation. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
31 May 2023, 9:33 am
The Securities and Exchange Commission (SEC) has explained that “as investor demand for climate and other environmental, social, and governance (ESG) information soars, the SEC is responding with an all-agency approach” that reflects the risks and opportunities of ESG and climate investing. [read post]
8 Mar 2016, 12:32 pm
The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. [read post]
5 Jan 2007, 5:51 am
A late December move by the Securities and Exchange Commission, altering the way in which U.S. companies must report the value of executive stock-option grants, is being criticized by investors and a key lawmaker as ill-conceived and poorly timed. [read post]
18 Nov 2016, 7:53 am
Rubin of the USMC replaced Captain Waits as the military judge presiding over the commission. [read post]
26 May 2018, 10:10 am
While the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) routinely issue alerts warning investors of new trends in investment fraud scams, it is not often that they highlight the same risks at the same time. [read post]
23 Nov 2015, 3:15 pm
Under these requirements, a prospective exchange must file with the Securities and Exchange Commission (“SEC”) its “rules of the exchange” designed to allow the exchange to regulate the conduct of its members so as to protect investors and the public interest. [read post]
13 May 2013, 6:24 am
In July 2011, we co-chaired a committee of ten corporate and securities law experts that petitioned the Securities and Exchange Commission to develop rules requiring public companies to disclose their political spending. [read post]
25 Jul 2022, 9:01 pm
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
19 Apr 2017, 9:09 am
Court of Appeals for the 11th Circuit subsequently broke from the herd in Securities and Exchange Commission v. [read post]
6 Mar 2023, 9:01 pm
This conference is part of the New Special Study of the Securities Markets (the “New Special Study”),[1] which is an ambitious effort to critically re-think how the securities markets should be regulated in the 21st century. [read post]
18 Feb 2010, 2:15 pm
The Wall Street Journal reported that the Securities and Exchange Commission will begin examining the marketing of retirement products known as target-date mutual funds. [read post]
