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14 Feb 2011, 12:52 pm
The following is a statement from SEC Chairman Mary L. [read post]
22 Jan 2003, 8:17 pm
[JURIST] The US Securities and Exchange Commission has issued press releases concerning new rules adopted Wednesday on retention of auditor records [SEC press release], financial disclosures [SEC press release], auditor independence [SEC press release] and shareholder reports [SEC press release]. [read post]
27 Jul 2022, 12:15 am
The SEC's program lacks transparency. [read post]
28 Mar 2022, 2:18 pm
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
23 Jun 2020, 1:36 pm
Our firm has the only former Senior Officer and Regional Director of the SEC who represents SEC whistleblowers, Walter Jospin. [read post]
23 Jun 2020, 1:36 pm
Our firm has the only former Senior Officer and Regional Director of the SEC who represents SEC whistleblowers, Walter Jospin. [read post]
19 Jan 2010, 8:18 am
The SEC recently announced the standards for it's new initiative to encourage and reward cooperation by individuals. [read post]
22 Apr 2020, 6:56 pm
Scott Silver, wrote a SEC Whistleblower primer at the inception of the SEC Whistleblower program and, over the last decade has represented retail customers and brokerage firm insiders in SEC Whisteblower claims. [read post]
1 Nov 2013, 11:00 am
Essentially, these lawmakers are going after the SEC, despite the SEC’s initial victory in the case. [read post]
18 Feb 2022, 1:22 pm
” (SEC Investor Advisory Committee, SEC). [read post]
6 May 2010, 5:03 am
The SEC requested a 36-month stay in order to prevent “inequitable line jumping” by Cuban disrupting the SEC’s standard FIFO procedure. [read post]
13 Jul 2012, 2:08 pm
On July 5, the SEC announced Norm Champ as the new Director of the SEC’s Division of Investment Management. [read post]
12 May 2021, 2:15 pm
” Since the beginning of the year, the SEC has awarded over $104 million to whistleblowers: May 10, 2021: The SEC awarded $22 million to two whistleblowers whose information and assistance aided the SEC, resulting in successful SEC enforcement actions against a financial services firm. [read post]
2 Jun 2010, 7:45 am
Have things really changed at the SEC? [read post]
25 Jan 2011, 11:52 am
SEC Proposes New Form PF for Private Fund Managers At an SEC open meeting today, SEC Commissioners voted to propose rules on a new Form PF. [read post]
23 May 2012, 8:00 am
The SEC is making a statement with this type of case. [read post]
21 Jul 2022, 6:18 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
3 Jun 2022, 8:13 am
The post From The SEC To Private Practice: Rising Law Firm Demand For SEC Officials appeared first on Above the Law. [read post]
22 May 2008, 10:40 am
If the SEC's investigation of litigators is going to become commonplace, the SEC may want to consider whether additional safeguards are necessary to alleviate the potential for SEC abuse. [read post]
1 Jun 2016, 10:06 am
Pauley III’s November 2015 order in SEC v. [read post]
