Search for: "In Re Securities and Exchange Commission"
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17 May 2013, 5:00 am
White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. [read post]
16 Nov 2021, 3:00 am
Last week, Securities and Exchange Commission Chair Gary Gensler, made a speech at the Institutional Limited Partners Association Summit. [read post]
17 May 2013, 5:00 am
White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. [read post]
13 May 2022, 6:13 am
Seniors need a cop on the beat and we’re here today to do something about it. [read post]
20 Jan 2022, 12:16 pm
For example, in In re: Tal Education Group Securities Litigation, the U.S. [read post]
5 Jul 2023, 9:01 pm
The Securities and Exchange Commission (SEC) has proposed rules that could require increased ESG disclosures. [read post]
17 Jan 2023, 6:11 am
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
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]
10 Aug 2016, 8:34 am
The Securities and Exchange Commission today announced that an Atlanta-based building products distributor is settling charges that it violated securities laws by using severance agreements that required outgoing employees to waive their rights to monetary recovery should they file a charge or complaint with the SEC or other federal agencies.BlueLinx Holdings Inc. has agreed to pay a $265,000 penalty.According to the SEC’s order, BlueLinx added the monetary… [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]
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]
8 Aug 2011, 12:47 pm
He represented the board in disciplinary action before the board’s hearing officer and worked with the Securities and Exchange Commission. [read post]
30 Jul 2012, 12:01 am
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]
17 Feb 2010, 7:29 pm
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]
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]
13 Feb 2015, 5:00 am
” The Securities and Exchange Commission is struggling with that notion when it decides whether to grant a waiver to an automatic bar from certain securities trading. [read post]
7 Oct 2021, 9:07 am
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]
