Search for: "In Re Securities and Exchange Commission"
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15 Jul 2015, 10:20 am
Further, the issuer should check and re-check public databases for any triggering events. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
27 Aug 2020, 7:23 am
In a lawsuit brought by the Securities and Exchange Commission, the U.S. [read post]
27 Jun 2019, 7:43 am
Whether you’re an employee, an observer of or a victim of foreign corrupt practices, you can qualify as a CFTC whistleblower. [read post]
1 May 2013, 9:55 am
In a recent Securities & Exchange Commission (“SEC”) investigation, the SEC interviewed three persons who had proffer agreements with the SEC and United States Attorney. [read post]
17 Mar 2014, 6:30 am
Warren may have been naïve, but he thought he was being questioned as part of a civil Securities and Exchange Commission investigation. [read post]
27 May 2016, 2:40 pm
” Furthermore, EFF advised the FCC to prohibit broadband companies from offering financial inducements in exchange for consent to collect and share personal information. [read post]
28 Oct 2019, 7:12 am
Currently, filers and Commission staff must process and validate EDGAR filing fee information within the filing by highly manual and labor-intensive methods. [read post]
12 Jul 2019, 8:14 am
Security futures. [read post]
17 Jul 2023, 9:01 pm
Previously he worked as commissioner counsel and economist at the Securities and Exchange Commission. [read post]
31 Oct 2018, 9:59 am
Five senior Taliban members who were released from Guantánamo Bay in 2014 in exchange for U.S. [read post]
16 Nov 2018, 10:26 am
The White House revoked Acosta’s security pass after a heated exchange between him and President Trump last week. [read post]
2 Aug 2021, 1:49 pm
The Securities And Exchange Commission is the government agency that regulates the financial services industry, including stockbrokers. [read post]
9 Mar 2021, 9:42 am
We’re long on things that don’t work. [read post]
13 Aug 2020, 12:15 pm
This issue of cyber workforce shortfalls and its impact on national security was a key focus of the Cyberspace Solarium Commission's (CSC) final report released earlier this year. [read post]
5 Nov 2011, 8:25 am
Rather, it requires the SEC to engage in rulemaking to do so: "Not later than 90 days after the date of the enactment of this Act, the Securities and Exchange Commission shall revise its rules issued in section 230.506 of title 17, Code of Federal Regulations, to provide that the prohibition against general solicitation or general advertising contained in section 230.502(c) of such title shall not apply to offers and sales of securities made pursuant to… [read post]
20 Dec 2021, 3:00 am
How-to guides help readers unlock the full potential of Bloomberg’s search tools, including dockets, EDGAR (a collection of filings the Securities and Exchange Commission uses), and litigation analytics. [read post]
3 Jan 2019, 3:08 am
Securities and Exchange Commission is currently closed. [read post]
29 Oct 2021, 5:45 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
