Search for: "In Re Securities and Exchange Commission"
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18 Apr 2014, 2:27 am
Securities and Exchange Commission, one of the options for the SEC in light of the court's adverse First Amendment ruling is to seek en banc review of the decision of the three-judge panel. [read post]
28 Sep 2007, 8:38 am
At a legislative hearing this week, investor advocates criticized the Securities and Exchange Commission's proposed proxy access rules, while business representatives expressed wariness about giving shareholders the right to nominate directors to appear on corporate proxy statements. [read post]
13 Feb 2017, 5:00 am
The Commission must also provide that a self-regulatory organization may not prohibit the ability of a member to publish or distribute a report solely because the member is participating in a registered offering or other distribution of the covered investment fund’s securities or prohibit such participation because the member has published or distributed a report. [read post]
8 Apr 2019, 8:26 am
The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of their financial future. [read post]
11 Aug 2016, 2:55 pm
The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets and then stealing money from the first client who invested with them based on their misrepresentations.The SEC alleges that Nicholas M. [read post]
21 Oct 2009, 10:25 am
SEC enforcement action for lax information security after data breach involving independent registered representatives Sidley Austin LLP The Securities and Exchange Commission (SEC) has issued another indication that they are serious about information security. [read post]
11 Dec 2008, 5:41 pm
"With respect to new litigation," says litigation partner Keith Miller, a former Securities and Exchange Commission lawyer, "there's not a lot. [read post]
15 Nov 2013, 4:51 am
The Securities and Exchange Commission may approve of Apple’s overseas tax strategies but Italian taxing authorities aren’t so sure. [read post]
15 Dec 2014, 4:15 am
Here’s what it says: Examiners at the Securities and Exchange Commission, as we explained this weekend, spend some of their time catching typos, demanding better punctuation and asking companies to rephrase impenetrable parts of official filings. [read post]
31 Aug 2012, 6:21 am
On August 23, 2012, the Ontario Securities Commission (OSC) published proposed amendments to its fee rule, 13-502. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
19 Apr 2011, 5:56 pm
Securities and Exchange Commission (SEC) to its custody and brochure rules for investment advisers. [read post]
27 Sep 2017, 5:52 am
Securities and Exchange Commission Chairman Jay Clayton is taking heat over the fact that his agency was hacked in 2016, but nothing was mentioned about it until last week. [read post]
26 Jun 2011, 10:13 pm
Securities and Exchange Commission, and others for libeling him in a special report prepared for Hollinger. [read post]
2 Aug 2018, 6:21 am
Radostitz asserted that her client was entitled to the presumption of innocence, despite having made a confession, citing In Re Mohammad. [read post]
18 May 2022, 9:01 pm
I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
15 Oct 2023, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
22 Apr 2016, 10:29 am
On a related note, the time during which a stock remains in the limit state condition should be extended from 15 to 30 seconds to allow markets to re-assess the stock prior to band re-adjustment.A second proposal would have exchanges’ clearly erroneous rules conform to the LU/LD bands. [read post]
29 Oct 2011, 8:02 am
Now, the DCF has cautioned that the Disclosure Guidance only represents its own views and “is not a rule, regulation, or statement of the Securities and Exchange Commission. [read post]
