Search for: "In Re Securities and Exchange Commission"
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18 Oct 2011, 12:18 pm
A passionate discussion of Guantanamo Bay-featuring exchanges among a current and former U.S. [read post]
18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
25 May 2010, 6:20 am
These are the laws that set out the entire framework of federal securities regulation, including establishing the Securities Exchange Commission says California Business Attorney Steven C. [read post]
17 Dec 2009, 4:00 am
November 1, 1974 - "We're Moving Right Along," Herblock, Copyright by The Herb Block Foundation The Securities and Exchange Commission Historical Society has launched a new gallery exploring the SEC during the mid to late 1970s: In the Midst of Revolution: The SEC, 1973-1981. [read post]
29 Aug 2011, 3:28 pm
”); Securities & Exchange Commission v. [read post]
16 Mar 2018, 6:08 am
Securities and Exchange Commission, on Thursday, March 15, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, Securities regulation, Transparency [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Disclosure, information, SEC, Securities regulation, Swaps Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Posted by Kara M. [read post]
2 Aug 2011, 9:59 am
After almost two years of investigation by the Securities and Exchange Commission, Overstock.com (NASDAQ: OSTK), also known as O.co, faces a possible enforcement action and sanctions arising from certain accounting violations reported in this blog. [read post]
13 Jun 2023, 7:41 am
The Act included provisions to protect whistleblowers who report securities law violations to the Securities and Exchange Commission (SEC) and provided incentives for SEC whistleblowers to come forward. [read post]
4 Oct 2011, 9:46 am
“We’re not trying to to this against the clock,” he said, “We’re trying to this in a way that gets it right. [read post]
2 Feb 2011, 10:11 am
In 2005, the Securities & Exchange Commission (“SEC”) commenced an inquiry into iMergent’s revenue recognition practices regarding its Extended Payment Term Arrangements (“EPTAs”). [read post]
20 Jul 2021, 8:19 am
And Pete tells us that the Securities and Exchange Commission may finally be putting the screws to companies that have been lax about reporting breaches to their investors. [read post]
29 Sep 2016, 5:08 pm
In reaching this conclusion, the Second Circuit examined the Black’s Law Dictionary definition of “affiliate” and rules promulgated by the Securities and Exchange Commission (“SEC”). [read post]
21 Oct 2024, 9:01 pm
Nearly four years ago, Jen Psaki was freshly in her White House press secretary job when she had to answer questions about the GameStop fallout from the podium.[1] A few months later, my first testimony as SEC Chair was centered on those events.[2] (As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff.) [read post]
21 Dec 2020, 3:00 am
Shortly thereafter, SEC Chair Jay Clayton issued his own statement on the legislation – which this excerpt suggests has thrown a bit of a monkey-wrench into the SEC’s own rulemaking initiatives regarding China-based companies: Prior to enactment of the Act, SEC staff were finalizing recommendations for proposed rules regarding enhanced listing standards for U.S. securities exchanges and auditor qualifications for the Commission’s consideration. [read post]
5 Sep 2017, 8:34 am
(As an aside, note that Exchange Act Section 18 can result in a company being liable for documents “filed” with the Commission.)The congresswomen note that Piwowar had voiced doubts about whether the conflict minerals rule is effective. [read post]
6 Mar 2024, 9:01 pm
Accordingly, the Commission should have re-proposed this rule with an updated economic analysis and solicited additional public feedback. [read post]
16 Nov 2014, 9:05 pm
Bank of America, see last page] Two SEC commissioners warn that campaigned-for “fair fund” to compensate investors in CR Intrinsic inside trading case “likely to benefit only class-action attorneys and the fund’s administrators” [Daniel Gallagher and Michael Piwowar, WSJ] “U.S. veterans sue [major European] banks, claim they should pay for Iraq attacks” [Alison Frankel, Reuters] Tweet Tags: administrative law, banks, Securities and… [read post]
11 Oct 2012, 4:22 am
Denbury Res. [read post]
28 Jul 2010, 8:48 am
We all knew there was a lot of bad stuff buried in the 2300-odd pages of Dodd Frank, but this is really outrageous: Under a little-noticed provision of the recently passed financial-reform legislation, the Securities and Exchange Commission no longer has to comply with virtually all requests for information releases from the public, including those filed under the Freedom of Information Act. [read post]
