Search for: "In Re Securities and Exchange Commission"
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18 Aug 2022, 6:16 am
” — “Seth Markin, a former FBI trainee, and his friend Brandon Wong were arrested on insider trading charges (there’s also a parallel civil complaint filed by the Securities and Exchange Commission)…” “According to the indictment, the pair made ~$1.4 million by improperly trading on nonpublic information, specifically that Pandion was set to be acquired by pharmaceutical company Merck. [read post]
21 Mar 2022, 8:11 am
“SEC probing Big Four accounting firms over conflict-of-interest concerns: report” — “The Securities and Exchange Commission (SEC) has launched a probe into conflict-of-interest concerns within the financial sector that includes the Big Four accounting firms — Deloitte , Ernst & Young, KPMG, and PricewaterhouseCoopers. [read post]
30 Sep 2008, 9:41 pm
Lynch's conclusion that the Grubmans of the world don't deserve more protection than securities issuers from claims under Securities and Exchange Commission Rule 10b-5 and section 10(b) of the Securities Exchange Act of 1934. [read post]
9 Jun 2021, 6:06 am
Securities and Exchange Commission. [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]
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]
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]
7 Nov 2022, 10:44 am
In doing so, they’re underscoring why courts need to keep them in check. [read post]
30 Nov 2008, 6:26 pm
The carrier relied on Endorsement No. 3 to the policy, which provides that: In consideration of the premium charged, this Policy does not apply to any Claim based on, arising out of, directly or indirectly resulting from, in consequence of, or in any way involving any actual or alleged violation of: (1) the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, any other federal law, rule or regulation with… [read post]
28 Mar 2012, 1:25 am
The Securities and Exchange Commission is investigating the company. [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]
2 May 2012, 9:27 am
© Stan for China Hearsay, 2012. | Permalink | No comment | Add to del.icio.us Post tags: SEC, Securities and Exchange Commission, US-listed Chinese companies [read post]
1 Mar 2016, 10:06 am
The SEC’s order finds that Qualcomm violated the anti-bribery, internal controls, and books-and-records provisions of the Securities Exchange Act of 1934. [read post]
7 Apr 2011, 11:28 am
Kluger also worked at an unidentified law firm in New Jersey at some point during that period, according to a related civil lawsuit filed against him by the Securities and Exchange Commission on Wednesday. [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]
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]
8 May 2024, 12:07 pm
At least until the Securities and Exchange Commission got involved and accused Mr. [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]
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]
