Search for: "In Re Securities and Exchange Commission"
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5 Jul 2015, 3:28 pm
Under the proposed rules, the national securities exchanges are required to develop listing standards requiring companies to develop and implement policies to “claw back” incentive-based compensation that “later is shown to have been awarded in error. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
21 Aug 2012, 9:30 pm
(Image of the SEC headquarters is provided by the Securities and Exchange Commission and used under a Creative Commons license) [read post]
26 May 2011, 1:29 pm
The Securities and Exchange Commission today filed a civil action against Johnson in the U.S. [read post]
22 Jul 2021, 6:13 am
Then any offer sale to retail participants, of course, must also comply with our securities laws and register and be on-exchange if exchanges are affected by those rules as well," said Gensler.Archegos collapse and family office rules. [read post]
3 Feb 2008, 10:33 pm
Securities and Exchange Commission, and also a Women's Law and Public Policy Fellow and Harvard Fellow in Public Interest Law at TransAfrica Forum, a Washington, D.C., based NGO that focuses on U.S. foreign policy toward Africa and the Caribbean. [read post]
4 Sep 2020, 6:27 pm
John Kennedy (R-La) and Chris Van Hollen (D-Md) that would prohibit securities of a company from being listed on any of the U.S. securities exchanges if the company has failed to comply with PCAOB audits for three years in a row. [read post]
28 Nov 2022, 9:02 am
According to a Securities and Exchange Commission (SEC) release which announced the fines, the 16 firms cited violations of the Securities Exchange Act of 1934, which required firms to reasonably supervise communications. [read post]
21 Nov 2022, 9:02 am
According to a Securities and Exchange Commission (SEC) release which announced the fines, the 16 firms cited violations of the Securities Exchange Act of 1934, which required firms to reasonably supervise communications. [read post]
2 Jun 2024, 9:01 pm
They’re laid out in the Commission’s Seaboard Report and in its Policy Statement Concerning Cooperation by Individuals.[8] They include: self-policing, self-reporting, remediation and, broadly, cooperation. [read post]
1 Apr 2016, 1:25 pm
§ 78j(b), Securities & Exchange Commission Rule 10b-5, and Section 20(a) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
8 Jul 2011, 10:06 pm
Critics have described the move by the FDIC as more stringent than clawback rules slated to be released by the Securities and Exchange Commission in a few weeks. [read post]
8 Dec 2010, 10:39 am
Temple used the information to trade in stock of major corporations in advance of prospective mergers or acquisition-related announcements, according to a federal lawsuit filed today by the Securities and Exchange Commission. [read post]
28 Jun 2022, 5:26 am
Securities and Exchange Commission (SEC) to investigate GWG Holdings and the broker-dealers selling its L Bonds to retail customers. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
1 Oct 2023, 9:01 pm
On September 27, 2023, the staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance issued 10 new Compliance & Disclosure Interpretations (C&DIs) relating to the pay-versus-performance (PVP) disclosure rules adopted last year. [read post]
23 Oct 2008, 6:42 pm
In a typical RMBS deal, for example, a mortgage originator or REIT will package and sell a large pool of mortgages to a special-purpose trust, which in turn (with the assistance of an underwriter) registers with the Securities and Exchange Commission to offer interest-bearing notes in various tranches, representing rights to the cash flow generated by the underlying mortgage pool. [read post]
4 Apr 2022, 9:01 pm
Generally, you’re not using them to get a cup of coffee at Good Karma on your way to class from Center City. [read post]
23 Jun 2017, 11:00 am
-China Diplomatic and Security Dialogue in Washington, D.C. [read post]
1 Nov 2010, 9:00 pm
Members who have enough points to secure the vacation accommodations they want can reserve them on a space-available basis. [read post]
