Search for: "In Re Securities and Exchange Commission"
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13 May 2016, 6:13 am
Securities and Exchange Commission, on Monday, May 9, 2016 Tags: Capital formation, Confidentiality, Disclosure, Firm performance, Information asymmetries, Information environment,Investor protection, IPOs, Market reaction, Public firms, Regulation D, SEC, Securities regulation, Signaling, Underpricing Corporate Governance in an Era of Compliance Posted by Sean J. [read post]
24 Apr 2014, 9:48 am
The Commission took into account K's cooperation when agreeing to the settlement. [read post]
23 Oct 2020, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. [read post]
5 Apr 2011, 8:12 am
” Similarly, Securities and Exchange Commission spokesman John Nester said, “We’re pleased our views factored in the decision. [read post]
30 Oct 2011, 3:40 pm
The Securities and Exchange Commission also has identified substantial accounting irregularities among these companies, which have applied the reverse merger strategy to join the US markets. [read post]
26 May 2009, 6:58 am
It's dark and rainy and everybody seems to be working.Bah humbug.Oh this is exciting -- all you broker/dealer securities litigators may get a boost from this proposed FINRA revision: The Financial Industry Regulatory Authority, or Finra, is requesting comment on whether it should file a rule proposal with the Securities and Exchange Commission that could expand existing suitability obligations for brokers. [read post]
27 Nov 2011, 11:50 pm
” The complaint neglects to mention that this entrant was able to secure supplies from other sources and later sold itself to an established out-of-state distributor. [read post]
21 Jan 2015, 1:16 pm
Answer: By: Jessica Linehan, Joel O’Malley, and Brian Rosenau A recent Seventh Circuit decision provides a cautionary tale for employers deciding what level of detail about litigated matters to include in publicly disclosed Securities and Exchange Commission (“SEC”) filings. [read post]
24 Apr 2018, 1:47 pm
It is remarkable that Thomas managed to secure seven votes for his entire opinion. [read post]
4 Sep 2014, 6:00 am
The Securities and Exchange Commission today charged two executives at a Dallas-based information technology company with mischaracterizing an arrangement with an equipment manufacturer to purport that it was conducting so-called “resale transactions” to inflate the company’s reported revenue.An SEC investigation found that the then-CEO and then-CFO caused the disclosure failures at Affiliated Computer Services (ACS), which has since been acquired by… [read post]
20 Aug 2015, 5:59 am
[Big Law Business / Bloomberg BNA] * Wachtell Lipton may interested in going "big brother" on its associates, but when it comes to the Securities and Exchange Commission, the firm wants to steer clear of such voyeurism by doing away with clients' quarterly reports. [read post]
11 Apr 2017, 5:59 am
Martin Shkreli's former lawyer, Evan Greebel -- who also happens to be his co-defendant -- has turned on him, accusing the pharma bro of submitting false documents to the Securities and Exchange Commission and engaging in illegal stock trading. [read post]
23 Jun 2020, 12:23 pm
A Supreme Court decision this week upheld one of the Securities and Exchange Commission’s most powerful tools for clawing back money from fraudsters but set limits that provide some protections to financial advisers caught in the agency’s cross hairs. [read post]
16 Sep 2015, 5:59 am
[New York Times] * We all know that Mark Cuban isn't that big of a fan of the Securities and Exchange Commission, but now he's trying to inject himself into the debate over the agency's use of in-house administrative law judges by way of filing a brief in support. [read post]
10 Mar 2019, 4:28 am
Securities and Exchange Commission. [read post]
24 Sep 2015, 8:35 am
The Securities and Exchange Commission (SEC) is investigating Bonan and Nan Huang for insider trading. [read post]
15 Nov 2006, 7:38 am
Whether conduct that is prohibited under the regulatory scheme governing public offerings of securities is categorically immune from liability under the federal antitrust laws because of the extensive regulatory authority exercised by the Securities and Exchange Commission over such conduct. [read post]
9 Jun 2009, 11:20 pm
Dan Hurson, United States: A New Approach For The SECâ€â [read post]
22 Sep 2008, 12:02 pm
Securities Class Action Properly Dismissed because Allegations in Class Action Complaint Failed to Meet PSLRA’s Heightened Pleading Requirements Eighth Circuit Holds Plaintiff filed a class action complaint against Hutchinson Technology and six of its officers and directors alleging violations of federal securities law; the class action complaint asserted claims under Section 10(b) of the Securities Exchange Act of 1934 and under Rule 10b-5 of the… [read post]
6 Aug 2023, 9:01 pm
On July 12, 2023, the Securities and Exchange Commission (the “SEC”) voted 3 to 2 (Commissioners Peirce and Uyeda dissenting) to adopt certain amendments to rules and forms under the Investment Company Act of 1940 (the “Investment Company Act”) intended to improve the resilience and transparency of money market funds (“MMFs”). [read post]
