Search for: "In Re Securities and Exchange Commission"
Results 541 - 560
of 2,530
Sorted by Relevance
|
Sort by Date
17 May 2023, 6:41 am
Securities and Exchange Commission to resolve its dispute with law firm Covington & Burling over the agency’s demand for the names of 300 clients affected by a cyberattack on the firm. [read post]
15 Aug 2022, 1:58 pm
They explain that a number of developments, including "the heightened consideration of institutional investors and proxy advisory firms on ESG board oversight and ESG considerations more generally, as well as various recent proposed rules and initiatives of the Securities and Exchange Commission (SEC) with respect to ESG matters, including the proposed climate rules issued by the SEC earlier this year," have induced many boards of directors to assume direct… [read post]
13 Apr 2023, 3:15 am
As noted above, should any issuers be identified as CIIs for two consecutive years in the future, an initial trading prohibition on the issuer’s securities would be imposed. [read post]
23 Jun 2011, 2:00 am
House of Representatives that would raise the threshold for mandatory registration under the Securities Exchange Act of 1934 (the “Exchange Act”) from 500 persons holding equity securities of record to 1,000 persons for all companies.[1] This bill would also exclude accredited investors and securities held by persons who received such securities pursuant to employee compensation plans from counting against… [read post]
26 Sep 2024, 3:15 am
While we’re on the topic of potential consequences for violating Section 16 of the Exchange Act, did you ever wonder what would happen if somebody tried to dodge paying over short swing profits under Section 16(b)? [read post]
9 Nov 2007, 6:45 am
The Securities and Exchange Commission appears poised to adopt a rule that would bar investors from filing proxy access proposals in 2008, a prospect that has alarmed some investors and Democratic lawmakers. [read post]
29 May 2013, 11:15 am
On Wednesday, the Securities and Exchange Commission (SEC) settled with the NASDAQ stock exchange for a cool $10 million. [read post]
13 Dec 2019, 3:15 am
We’re continuing to post memos in our “Direct Listings” Practice Area. [read post]
23 Nov 2021, 9:52 am
On Tuesday, in its statement to the Observer, CPI included the June 4, 2020, email exchange and said: “To be clear, Mr. [read post]
8 Oct 2009, 8:55 pm
He has to make key decisions within the next weeks, before issuing his Q3 2009 financial reports, on how to handle certain financial reporting violations uncovered by this blog and now being investigated the Securities and Exchange Commission. [read post]
11 Jul 2014, 3:59 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
3 Aug 2014, 12:29 pm
He also urged the Commission to implement a parallel and proportionate access fee cap for sub-dollar stocks. [read post]
22 Nov 2022, 3:30 am
Here’s an excerpt from a CFO Dive article on her remarks: The Securities Exchange Commission (SEC) will look beyond the figures that underlie net income when determining whether a company is in compliance with the agency’s proposed climate risk disclosure rule, an SEC enforcement official said Tuesday. [read post]
13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
18 Nov 2018, 8:48 pm
Proposals for a national security exchange are not new in Canada. [read post]
11 Feb 2016, 8:19 am
” Moreover, he argued, the legislative histories of the Securities Act, the Exchange Act, and the Administrative Procedure Act all show that Congress intended SEC ALJs to be inferior officers in the constitutional sense. [read post]
20 Apr 2022, 7:28 am
"The focus of the audit will be to evaluate any disparate racial impacts on our nearly one million U.S. hourly employees resulting from our policies, programs, and practices," Amazon said in a proxy statement filed with the Securities and Exchange Commission last Thursday. [read post]
4 Aug 2017, 10:03 am
Financial specialists – Investment firms who oversee extensive portfolios for their customers utilize the Fx market to encourage exchanges in remote securities. [read post]
19 May 2007, 1:44 am
After nearly five years of hearing concerns about uncertainty regarding management's responsibilities under 404 and complaints about burdensome audits under its companion auditing standard, the Securities and Exchange Commission may formally make the first change to the provision before Memorial Day weekend. [read post]
