Search for: "In Re Securities and Exchange Commission"
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5 Sep 2022, 9:05 pm
Res. [read post]
3 Oct 2008, 7:40 pm
On that bright spring afternoon, the five members of the Securities and Exchange Commission met in a basement hearing room to consider an urgent plea by the big investment banks. [read post]
17 Oct 2022, 5:36 pm
“You run into proper trouble when you’re promoting an issuer of a security,” he said. [read post]
4 Apr 2015, 3:32 am
The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process.The SEC charged Houston-based global technology and engineering firm KBR Inc. with violating whistleblower protection Rule 21F-17 enacted under the Dodd-Frank Act. [read post]
7 Nov 2012, 1:59 pm
Now, the Securities and Exchange Commission is asking for more comment about this proposed fund. [read post]
27 Jun 2022, 9:30 am
Additionally, the SEC says the language used in the agreements violated Section 21F and Rule 21F-17(a) of the Securities Exchange Act that “encourage[s] individuals to report to the commission. [read post]
10 Jun 2013, 1:05 pm
”Section 604 of the Sarbanes-Oxley Act expanded the definition of statutory disqualification in Section 3(a)(9) of the Securities Exchange Act of 1934 by both creating and incorporating Exchange Act Section 15(b)(4)(H) so as to include persons subject to a Final Order of a state securities commission if the Order is based upon the violation of a statute or regulation that prohibits fraudulent, manipulative, and deceptive conduct. [read post]
6 Jun 2018, 7:55 am
He noted, “My message is we’re better than this. [read post]
16 May 2014, 5:08 pm
On the other hand investment advisors are regulated by the Securities and Exchange Commission as provided under the Investment Advisors Act of 1940 (IAA). [read post]
27 Jul 2020, 4:00 am
… Canadian Securities LawOSC and BCSC Sign Oversight Agreement Regarding the Canadian Securities Exchange On July 16, the Ontario Securities Commission (OSC) announced that it has entered into a Memorandum of Understanding (MOU) with the British Columbia Securities Commission (BCSC) regarding the oversight of the Canadian Securities Exchange (CSE). [read post]
4 Jan 2018, 7:11 am
According to Van Valkenburgh, Coin Center will be focusing its energies on largely on state money transmission licensing issues, as well as the ongoing role of the Securities and Exchange Commission in the year ahead.With regard to money transmitters, Coin Center will be continuing to work with states to help them rationalize legal requirements for these business that are involved with exchanging dollars for Bitcoins and other cryptocurrencies. [read post]
17 Oct 2011, 7:28 am
For example, during the first year after the PSLRA’s enactment, institutional investors became lead plaintiff in just eight of 105 securities litigation cases filed, according to a 1997 report by the Securities Exchange Commission. [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
14 Dec 2018, 3:02 am
Suddenly there’s news of an unexpected trading stop or suspension and delisting by an exchange or by the Securities and Exchange Commission. [read post]
5 May 2021, 7:46 am
Maroney Alleged To Have Sold Unregistered Fraudulent Securities An emergency action filed April 20, 2021, by the Securities and Exchange Commission (SEC) in federal court in the Middle District of Florida alleges that Maroney used Harbor City Capital, a purported “online lead generation campaign business,” and a number of entities to raise $17.1 million through offerings of unregistered fraudulent securities. [read post]
30 Sep 2008, 9:41 pm
Lynch's conclusion that the Grubmans of the world don't deserve more protection than securities issuers from claims under Securities and Exchange Commission Rule 10b-5 and section 10(b) of the Securities Exchange Act of 1934. [read post]
17 Feb 2009, 1:48 pm
By KRISTEN HAYS and TOM FOWLER Copyright 2009 Houston Chroniclehttp://www.chron.com/disp/story.mpl/front/6266846.html The Securities and Exchange Commission today filed civil charges <[www.sec.gov]> against Texas billionaire Robert Allen Stanford, his offshore bank, two of his Houston-based companies and two other officers, alleging that they have orchestrated a multibillion-dollar investment fraud scheme on certificates of deposit. [read post]
21 Mar 2022, 8:11 am
“SEC probing Big Four accounting firms over conflict-of-interest concerns: report” — “The Securities and Exchange Commission (SEC) has launched a probe into conflict-of-interest concerns within the financial sector that includes the Big Four accounting firms — Deloitte , Ernst & Young, KPMG, and PricewaterhouseCoopers. [read post]
18 Aug 2022, 6:16 am
” — “Seth Markin, a former FBI trainee, and his friend Brandon Wong were arrested on insider trading charges (there’s also a parallel civil complaint filed by the Securities and Exchange Commission)…” “According to the indictment, the pair made ~$1.4 million by improperly trading on nonpublic information, specifically that Pandion was set to be acquired by pharmaceutical company Merck. [read post]
2 May 2012, 9:27 am
© Stan for China Hearsay, 2012. | Permalink | No comment | Add to del.icio.us Post tags: SEC, Securities and Exchange Commission, US-listed Chinese companies [read post]
