Search for: "In Re Securities and Exchange Commission"
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15 Jan 2008, 8:13 am
CtW also notes that the company has underperformed its S&P 500 peers, engaged in "rampant" related-party transactions, and paid a $1.5 million fine to the Securities and Exchange Commission in 2005 over undisclosed executive perks. [read post]
29 Jun 2021, 3:20 am
The panel relied on the Securities Exchange Commission’s guidance regarding the adequacy of cybersecurity-related disclosures as “judgments about the way the real world works” to inform its analysis of a reasonable investor’s perspective. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
21 Jun 2010, 2:18 am
Validus Holdings of Bermuda said in its 8-K filings with the Securities and Exchange Commission its estimate was $293 million, higher than its original range of $170 to $270 million.Munich Re said that reliable forecasts had been difficult until now because of low primary insurer retentions, ongoing business interruption losses, and a high proportion of individually reinsured production facilities and buildings. [read post]
3 Dec 2008, 9:52 pm
(NASDAQ: BRCM) fired Senior Vice President Vahid Manian after a background report issued by Barry Minkow, co-founder of the Fraud Discovery Institute, uncovered him using phony educational credentials in filings with the Securities and Exchange Commission. [read post]
4 Jun 2020, 8:50 pm
Publicly-traded companies are required to submit this paperwork to the US Securities and Exchange Commission whenever something exceedingly positive—or negative—happens within the company. [read post]
16 Mar 2020, 2:33 pm
We’ve combed through the transcript from the debate to present the national security-related exchanges. [read post]
31 Mar 2023, 1:43 pm
In Securities and Exchange Commission v. [read post]
27 Jul 2020, 5:58 am
These include the following:net liquid assets method, which is based primarily on existing capital requirements for FCMs, and on the capital requirements adopted by the Securities and Exchange Commission for security-based swap dealers and major security-based swap participants;bank-based method, which is based primarily on existing capital requirements for bank holding companies under the supervision of the Federal Reserve Board; andtangible net worth… [read post]
1 Apr 2019, 10:29 am
See Securities & Exchange Comm. v. [read post]
20 Nov 2017, 5:00 am
Representative Sean Duffy (R-Wis) re-introduced legislation that would regulate proxy advisory firms. [read post]
11 Sep 2012, 1:36 am
It is worth noting the DCF’s own observation in the guidance that it “is not a rule, regulation, or statement of the Securities and Exchange Commission”. [read post]
22 Jun 2023, 5:50 am
The SEC has charged Coinbase with operating as an unregistered securities exchange, broker, and clearing agency, as well as the unregistered offer and sale of securities.Court grants four months. [read post]
15 May 2007, 9:45 am
Investor advocates defended non-binding shareholder proposals as a useful tool of engagement with companies and urged the Securities and Exchange Commission not to scale back the ability of investors to file those resolutions. [read post]
15 Dec 2008, 6:55 pm
Even though I worked at the Securities and Exchange Commission for a number of years, trying to explain things like derivatives was never my strong suit. [read post]
22 Apr 2024, 2:04 pm
Apr. 12, 2024) (“MIC”), the United States Supreme Court (Sotomayor, J.) held unanimously that “pure omissions” in a Securities and Exchange Commission (“SEC”) filing do not support liability under SEC Rule 10b-5(b). [read post]
15 Sep 2011, 8:44 am
Circuit Court of Appeals invalidating Exchange Act Rule 14a-11. [read post]
31 Mar 2010, 3:42 am
Possible Securities Fraud Separate and apart from new information discovered by Minkow and Lobdell, this blog has uncovered troubling false and misleading disclosures by InterOil in filings with the Canadian Securities Commissions and the Securities and Exchange Commission that violate securities laws in both countries. [read post]
21 Dec 2022, 6:03 am
The Commission would have authority to alter the dollar amounts in the definition of “eligible privately-held company. [read post]
2 Jun 2022, 7:30 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
