Search for: "In Re Securities and Exchange Commission"
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15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
17 Jan 2018, 9:04 am
As we have discussed in previous blog posts, on December 21, 2017, the Securities and Exchange Commission (“SEC”) formally announced charges against the Woodbridge Group of Companies (“Woodbridge”) of Sherman Oaks, CA, as well as Woodbridge’s related unregistered investment funds and the firm’s owner and former CEO, Robert Shapiro. [read post]
22 Sep 2020, 9:13 am
Securities and Exchange Commission (SEC) Whistleblower Program, the Co-Director of the SEC’s Division of Enforcement lauded the success of the program and its importance in fighting corporate fraud. [read post]
30 Jul 2007, 10:53 am
The Securities and Exchange Commission this week unveiled a much-anticipated proposed rule on proxy access that is being criticized by some investors as too onerous and restrictive. [read post]
6 Sep 2013, 2:00 pm
[Huffington Post] Continue reading »Follow Above the Law on Twitter or become a fan on Facebook.Tags: Gay, Gay Marriage, International Law, Non-Sequiturs, Securities and Exchange Commission, Syria, Women's Issues [read post]
14 Jun 2023, 9:11 am
In our previous posts, we’ve examined the Securities and Exchange Commission’s (SEC) increased enforcement actions against what are called “special purpose acquisition companies” (SPACs). [read post]
18 Feb 2013, 2:56 pm
The FCC isn’t special and it doesn’t deserve a special Sunshine Act exemption any more than, say, the Securities and Exchange Commission does. [read post]
9 Nov 2009, 8:49 pm
However, Overstock.com is stubbornly forcing the Securities and Exchange Commission to take enforcement action to make its financial reports comply with GAAP. [read post]
4 Mar 2021, 8:24 am
On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. [read post]
22 Feb 2018, 8:39 am
Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. [read post]
26 Aug 2022, 6:31 am
Securities and Exchange Commission. [read post]
26 Aug 2022, 6:31 am
Securities and Exchange Commission. [read post]
17 Mar 2011, 3:40 pm
” The company also provided the information in a document filed with the Securities and Exchange Commission on Thursday, which includes a list of recommendations for customers who might be affected. [read post]
28 Jan 2022, 9:41 pm
Securities and Exchange Commission. [read post]
20 Nov 2019, 12:15 pm
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). [read post]
23 May 2022, 9:22 am
Before sitting down for her now-famous 60 Minutes interview, former Facebook employee Frances Haugen had filed eight complaints with the Securities and Exchange Commission (SEC). [read post]
9 Mar 2010, 3:52 pm
Solow, the Securities and Exchange Commission ("SEC") charged Jamie Solow, a stock broker, with a fraudulent trading scheme involving inverse floating rate collateralized mortgage obligations. [read post]
29 Sep 2022, 8:00 am
Securities and Exchange Commission has recently ratcheted up enforcement of insider trading cases, announcing investigations against ten people in four different cases in July. [read post]
20 Nov 2019, 12:15 pm
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). [read post]
21 Oct 2022, 9:16 am
The Securities and Exchange Commission (SEC) announced the creation of two new offices—an Office of Crypto Assets (OCA) and an Office of Industrial Applications and Services (OIAS)—within its Division of Corporation Finance’s Disclosure Review Program (DRP). [read post]
