Search for: "In Re Securities and Exchange Commission"
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26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
10 Apr 2012, 12:36 pm
Norris (“Norris”) petitions for review of an arbitrator’s decision affirming his removal from his position as a Trial Attorney with the Securities and Exchange Commission (“SEC”). [read post]
15 Apr 2019, 8:05 am
The Securities and Exchange Commission today announced that Sara Cortes and David P. [read post]
22 Apr 2012, 10:15 pm
Plaintiffs claim the CFTC final rule failed to explain its reversal of a 2003 decision not to regulate an area already regulated by the Securities and Exchange Commission. [read post]
27 Apr 2007, 9:58 am
The Securities and Exchange Commission proposed recommendations in December that instruct managers to focus on items most likely to cause financial misstatements.I don't share Steel's optimism. [read post]
4 Jun 2018, 6:00 am
A mentioned two weeks ago that the Securities and Exchange Commission was looking at private fund managers who failed to Form PF. [read post]
8 Feb 2018, 4:43 am
Here’s the intro from this WSJ article by Dave Michaels and Andrew Ackerman: Scott Garrett, a former Republican lawmaker known for criticizing what he considered government overreach by Wall Street regulators, has landed a senior role at the Securities and Exchange Commission. [read post]
18 Nov 2010, 1:43 am
For example, in response to the global financial crisis, the US Securities and Exchange Commission recently adopted new rules enhancing disclosure of risk oversight by the board of directors, executive remuneration, and conflicts of interest of compensation consultants. [read post]
3 Nov 2008, 8:47 pm
Four former executives of General Re Corp. and a former executive of AIG were convicted in February of conspiracy, securities fraud, mail fraud and making false statements to the Securities and Exchange Commission. [read post]
8 Jul 2010, 10:31 am
The Securities and Exchange Commission is investigating the sale of $200 million in collateralized debt obligations (CDOs) to several Wisconsin school districts, according to a recent Wall Street Journal article by Meena Thiruvengadam and Kelly Nolan (“SEC Investigates Failed CDOs Sold to Wisconsin Schools”). [read post]
15 Feb 2018, 1:30 pm
Finally, Rubin directed the government to re-mark the transcript of al-Darbi’s direct examination for release to the defendant and to process in the normal manner any additional discovery and reclassification requests from the defense. [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
27 Jun 2024, 9:05 pm
Securities and Exchange Commission (SEC) violated the right to a jury trial guaranteed by the Seventh Amendment of the U.S. [read post]
4 Oct 2010, 9:29 am
False convictions are by definition "legal" until they're overturned by the appellate courts. [read post]
10 Dec 2013, 6:34 am
TweetLast week, on Wednesday, the Securities and Exchange Commission’s Division of Corporation Finance issued 14 new Compliance and Disclosure Interpretations (C&DIs) related to the private offering exemption afforded by Regulation D, Rule 506, this time addressing subsection (d) of the rule (concerning bad actor disqualification). [read post]
11 Nov 2021, 6:10 am
Securities and Exchange Commission. [read post]
6 Jun 2017, 8:06 am
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
