Search for: "In Re Securities and Exchange Commission"
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9 Jun 2021, 6:06 am
Securities and Exchange Commission. [read post]
28 Sep 2020, 3:15 pm
The Treasury’s Capital Markets report had recommended only that the Exchange Act Rule 14a-8 thresholds be "substantially revised. [read post]
15 Aug 2014, 5:42 am
Federal: GOP Looks to Shake Loose More Wall Street Cash Politico – Patrick Temple-West | Published: 8/13/2014 The Securities and Exchange Commission rule limiting some campaign contributions from investment firms violates free speech, two state Republican parties said in a lawsuit seeking to overturn the regulation. [read post]
29 Apr 2014, 7:01 am
Strangely, the pushback is not coming from law enforcement this time, but rather from civil agencies such as the Securities and Exchange Commission (SEC) and the Internal Revenue Service (IRS), who would like to use the bill to enhance their own authority. [read post]
7 Nov 2022, 10:44 am
In doing so, they’re underscoring why courts need to keep them in check. [read post]
28 Mar 2012, 1:25 am
The Securities and Exchange Commission is investigating the company. [read post]
15 Oct 2021, 7:38 am
The Commission consists of nine Senators, nine Members of the House of Representatives, and five senior Administration officials appointed by the President. [read post]
22 May 2012, 9:38 am
As reported May 21 by Investment News, the Securities and Exchange Commission (SEC) is now taking a deeper look at “several areas of high risk” in the securities industry. [read post]
15 Dec 2011, 7:33 am
At the time, vast swaths of the amendment were redacted — replaced, in the electronic version, with little bracketed asterisks that, a footnote informs us, “Indicates that certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. [read post]
8 May 2024, 12:07 pm
At least until the Securities and Exchange Commission got involved and accused Mr. [read post]
1 Aug 2019, 11:54 am
Securities and Exchange Commission, in the Harvard Law School Forum on Corporate Governance and Financial Regulation, on March 6, 2015. [5]“Artificial Intelligence and the Future of Humans,” Pew Research Center, December 2018. [6] In Re Snap Securities [7] “Guest Post: The State of Securities Litigation After Cyan,” Doug Greene, Jessie Gabriel, Marco Molina, and Brian Song of Baker & Hostetler; The D&O Diary,… [read post]
3 Aug 2017, 3:58 pm
In April 2017, the Securities and Exchange Commission (SEC) denied proposals to list and trade shares of two Bitcoin trust exchanges, finding that the proposals did not satisfy SEC requirements that (1) the exchange must have surveillance-sharing agreements with significant markets for trading the underlying commodity (i.e., Bitcoin) or derivatives on that commodity and (2) those markets must be regulated. [read post]
3 Jan 2023, 10:08 am
(A-Mark), both California companies, for fraud in connection with off-exchange retail commodity transactions; failing to register as a Futures Commission Merchant (FCM); and engaging in illegal off-exchange retail commodity transactions. [read post]
8 Aug 2008, 6:26 pm
UBS will purchase $8.3 billion of the securities from its clients beginning on Oct. 31 under a settlement with New York State Attorney General Andrew Cuomo, the Securities and Exchange Commission, and a group of other state regulators, according to terms of the settlement announced today. [read post]
14 Aug 2019, 3:00 am
” The notice describes this matter as follows: The Commission will consider whether to publish an interpretation and related guidance regarding the applicability of certain rules, which the Commission has promulgated under Section 14 of the Securities Exchange Act of 1934, to proxy voting advice. [read post]
26 Jul 2022, 3:00 am
Here’s more detail: The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. [read post]
1 Feb 2023, 6:03 pm
Securities and Exchange Commission; Tom Manganello (U.S. [read post]
10 Apr 2024, 3:15 am
Securities and Exchange Commission Mr. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
