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19 Jan 2015, 8:48 am
In July 2013, the SEC charged Trendon T. [read post]
28 Aug 2014, 5:00 am
SEC, 796 F. [read post]
22 Feb 2014, 2:38 pm
SEC Historical: The Virtual Museum and Archive of the History of Financial Regulation is maintained by the SEC Historical Society, an independent nonprofit organization. [read post]
22 Feb 2010, 9:11 am
Since the forward-looking statement here was included in the MD&A, the court asked the SEC if it came within the exclusion. [read post]
5 Mar 2010, 3:01 pm
SEC Urges Supreme Court Approval of Significant Domestic Conduct Standard in Applying Extraterritorial Reach of US Securities LawsAlthough a Second Circuit panel correctly dismissed a foreign-cubed case, the SEC told the US Supreme Court, the panel erred in treating the limits on the transnational application of the Exchange Act’s antifraud provisions as constraints on its subject matter jurisdiction. [read post]
21 Aug 2012, 10:09 am
Sean McKessy, chief of the SEC’s Whistleblower Office, said that since the program was established in August 2011, about eight tips a day are flowing into the SEC. [read post]
22 Jun 2022, 3:00 am
SEC yesterday. [read post]
19 May 2022, 4:05 am
The opinion also said that statutory restrictions on the removal of the SEC’s ALJs are also unconstitutional. [read post]
21 May 2013, 8:21 am
SEC Commissioner Elisse Walter personally thinks that the SEC should take a hard look at mandatory arbitration of investors disputes with their broker-dealers and financial advisers, but says that the SEC will not have time to undertake a review before... [read post]
15 Oct 2014, 10:00 am
A Financial services company reached a settlement with the SEC in the amount of $18.5 million in regards to SEC claims of inaccurate reporting by the company. [read post]
13 Mar 2009, 6:43 am
SEC Will Confirm Assets of Investors in Hedge Funds Managed by Registered Investment Advisers as Part of Adviser Examinations Senior SEC officials announced at a recent Managed Funds Association seminar that as part of the routine examinations of registered investment advisers the SEC staff will seek confirmations from investors in hedge funds managed by the advisers of cash and securities held by advised clients. [read post]
6 Jul 2012, 4:23 am
Prior to joining the SEC staff in 2010, Mr. [read post]
9 Oct 2020, 11:21 am
The SEC also seems to be standing strong in its continued messaging to would-be whistleblowers that the SEC wants to hear from you. [read post]
11 Nov 2021, 8:03 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
2 Aug 2021, 8:32 am
SEC Chair Gensler is gung-ho in favor of his staff establishing mandatory reporting standards for discussing climate risk, a position supported by 75% of comment letters to the SEC. [read post]
12 May 2010, 5:00 am
Will the SEC go after the other rating agencies? [read post]
13 Jul 2023, 2:25 pm
Hiring experienced SEC counsel may greatly increase the probability that the SEC will initiate an investigation based on your information. [read post]
13 Nov 2014, 7:43 pm
Jackson, Robert J. and Mitts, Joshua, How the SEC Helps Speedy Traders (November 6, 2014). [read post]
17 Jun 2021, 10:14 am
No investor money is ever used for an SEC bounty paid to a whistleblower. [read post]
5 Feb 2009, 11:27 am
But the Treasury and the SEC have also agreed to work together to align executive compensation with proper risk management and long-term value. [read post]
