Search for: "In Re Securities and Exchange Commission"
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29 Feb 2024, 9:01 pm
Securities and Exchange Commission (SEC) proposed ambitious rules relating to artificial intelligence (AI) that have drawn significant commentary and criticism. [read post]
25 Sep 2008, 3:35 pm
That's partly due, says Bruce Hiler, head of the securities group at Cadwalader Wickersham & Taft and a former associate director of enforcement at the Securities & Exchange Commission (SEC), to the posturing by congressmen looking for a soundbite moment to slam Wall Street.We talked to Hiler about about short sales and the asset-backed securities bailout plan. [read post]
7 May 2013, 1:17 pm
It’s one bullet point buried deep in the Ontario budget but it could have big implications for the class action bar.On page 290 of last week’s budget, under a section regarding consultations with the Ontario Securities Commission, it’s noted the government “plans to propose further changes to update the Securities Act. [read post]
15 Oct 2021, 6:19 am
Securities and Exchange Commission. [read post]
28 Aug 2019, 6:17 am
Securities and Exchange Commission. [read post]
22 Jan 2024, 9:01 pm
Ralston Purina Co.[4] Imagine that — the Commission engaging in notice-and-comment rulemaking, including a re-proposal, to address regulatory uncertainty and ambiguity following judicial decisions. [read post]
8 Jul 2015, 11:26 am
Recently, a Dallas investment scheme orchestrated by Brian Polito and his company EOG Resources got snagged by the federal authorities, with the Securities and Exchange Commission (”SEC”) filing suit here in a Texas federal district court alleging Polito had conned millions of dollars from his investors through the sale of interests in Texas oil and gas wells and oil futures. [read post]
17 Dec 2010, 7:00 am
The Federal Trade Commission, the nation’s consumer protection agency, has tips to help consumers make smart online shopping decisions for the holidays: Know who you’re dealing with: Confirm the online seller’s physical address and phone number before you buy. [read post]
1 Feb 2022, 6:25 am
Gary Gensler is full of ideas for expanding the Security and Exchange Commission’s security requirements for brokers, public companies and those who service the financial industry. [read post]
24 Nov 2015, 11:36 am
A separate Securities and Exchange Commission case alleging securities fraud is pending before U.S. [read post]
30 Jan 2024, 9:04 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
19 Dec 2023, 6:12 am
Coinbase late today said it plans to take the SEC back to court via a petition for review of the Commission’s denial of its rulemaking petition (In re Coinbase, Inc., December 15, 2023).SEC denial. [read post]
29 Nov 2011, 9:00 pm
Tags: Securities and Exchange Commission, Senate, U.S. [read post]
9 May 2023, 11:55 am
Is securities fraud the same thing as investment fraud? [read post]
7 Oct 2020, 2:55 pm
Sugarman (Securities Act; Exchange Act)Chemehuevi Indian Tribe v. [read post]
12 May 2016, 11:17 am
The Securities and Exchange Commission today announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them until the SEC stopped them in their tracks.The SEC alleges that Imran Husain and Gregg Evan Jaclin essentially operated a shell factory enterprise by filing registration statements to form various startup companies and misleading potential investors to believe each company would be… [read post]
19 Jul 2017, 3:02 pm
Each of the incidents is related to Sabre Hospitality Solutions’ credit card data breach in its SynXis hotel-reservations system, which Sabre first announced in a quarterly filing with the Securities and Exchange Commission on May 17. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
21 Aug 2022, 9:01 pm
In issuing an Advance Notice of Proposed Rulemaking (ANPR), the Commission is seeking comments from the public on the extent and effects of various commercial surveillance and data security practices, as well as on various approaches to crafting rules to govern these practices and the attendant tradeoffs. [read post]
