Search for: "In Re Securities and Exchange Commission"
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23 Apr 2021, 9:07 am
For example, Jeff Greene, acting senior director for cybersecurity at the National Security Council, said that “we’re at the point where the federal government simply can’t bear the risk of buying insecure software anymore. [read post]
28 Mar 2008, 7:40 pm
Parts of the plan could reduce the power of the Securities and Exchange Commission, which is charged with maintaining orderly stock and bond markets and protecting investors. [read post]
4 Feb 2013, 10:11 am
First, the proposed rule is overly broad and goes far beyond the discrete concerns expressed by the Securities and Exchange Commission in August 2009. [read post]
9 Feb 2022, 5:29 pm
At its open meeting on February 9, the Securities and Exchange Commission offered up a buffet of proposed regulations of private funds. [read post]
19 Jan 2011, 6:13 pm
On July 28, 2010, the Securities and Exchange Commission (“SEC”) amended Part 2 of Form ADV and certain rules under the Investment Advisers Act of 1940 to require registered investment advisers (“RIAs”) to provide clients with a brochure and brochure supplements written in plain English. [read post]
13 Aug 2008, 2:04 pm
Specifically, the story discusses the Securities and Exchange Commission's announcement last week to settle with Citigroup Global Markets, UBS Securities and UBS Financial Services to repurchase auction rate securities of retail investors in the near term and use best efforts to repurchase at par the securities of institutional investors by the end of 2009 or 2010. [read post]
9 Nov 2021, 1:44 pm
In practice, entities engaged in these activities could face significant implications if those activities potentially involve the export, re-export or transfer of cybersecurity items. [read post]
28 Jul 2014, 5:00 am
The exchanges are doubtful about the “maker/taker” system that has become dominant in the wake of Regulation NMS, and the Securities Industry and Financial Markets Association (“SIFMA”), the industry trade group, wants major reforms. [read post]
6 Dec 2007, 8:26 am
Five years after the passage of the Sarbanes-Oxley Act, the Securities and Exchange Commission has increased its civil enforcement efforts, but the agency is collecting less in penalties from companies, and federal prosecutors are bringing fewer criminal cases. [read post]
13 May 2016, 6:13 am
Securities and Exchange Commission, on Monday, May 9, 2016 Tags: Capital formation, Confidentiality, Disclosure, Firm performance, Information asymmetries, Information environment,Investor protection, IPOs, Market reaction, Public firms, Regulation D, SEC, Securities regulation, Signaling, Underpricing Corporate Governance in an Era of Compliance Posted by Sean J. [read post]
23 Oct 2020, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. [read post]
30 Oct 2011, 3:40 pm
The Securities and Exchange Commission also has identified substantial accounting irregularities among these companies, which have applied the reverse merger strategy to join the US markets. [read post]
26 May 2009, 6:58 am
It's dark and rainy and everybody seems to be working.Bah humbug.Oh this is exciting -- all you broker/dealer securities litigators may get a boost from this proposed FINRA revision: The Financial Industry Regulatory Authority, or Finra, is requesting comment on whether it should file a rule proposal with the Securities and Exchange Commission that could expand existing suitability obligations for brokers. [read post]
27 Nov 2011, 11:50 pm
” The complaint neglects to mention that this entrant was able to secure supplies from other sources and later sold itself to an established out-of-state distributor. [read post]
21 Jan 2015, 1:16 pm
Answer: By: Jessica Linehan, Joel O’Malley, and Brian Rosenau A recent Seventh Circuit decision provides a cautionary tale for employers deciding what level of detail about litigated matters to include in publicly disclosed Securities and Exchange Commission (“SEC”) filings. [read post]
24 Apr 2018, 1:47 pm
It is remarkable that Thomas managed to secure seven votes for his entire opinion. [read post]
23 Jun 2020, 12:23 pm
A Supreme Court decision this week upheld one of the Securities and Exchange Commission’s most powerful tools for clawing back money from fraudsters but set limits that provide some protections to financial advisers caught in the agency’s cross hairs. [read post]
15 Nov 2006, 7:38 am
Whether conduct that is prohibited under the regulatory scheme governing public offerings of securities is categorically immune from liability under the federal antitrust laws because of the extensive regulatory authority exercised by the Securities and Exchange Commission over such conduct. [read post]
10 Mar 2019, 4:28 am
Securities and Exchange Commission. [read post]
9 Jun 2009, 11:20 pm
Dan Hurson, United States: A New Approach For The SECâ€â [read post]
