Search for: "SEC"
Results 61 - 80
of 60,431
Sorted by Relevance
|
Sort by Date
5 Jun 2017, 12:42 pm
The Court held "Because SEC... [read post]
24 Oct 2013, 5:44 am
The statutory deadline for the SEC to adopt these... [read post]
31 Aug 2015, 6:00 am
Andrew Vollmer, a law professor at the University of Virginia and a former SEC deputy general counsel, has written two excellent papers on SEC enforcement. [read post]
29 Jun 2015, 6:00 am
A growing literature investigates the reasons for such failure in SEC enforcement by examining the SEC’s choice of enforcement targets. [read post]
13 Jan 2010, 12:06 pm
The SEC and Congress have responded to this concern. [read post]
12 Apr 2019, 12:53 pm
This situation shows how important whistleblowers are to the SEC. [read post]
13 Feb 2024, 5:06 am
The Securities and Exchange Commission (SEC) reported a record-breaking year for the SEC Whistleblower Program in 2023. [read post]
21 Apr 2022, 9:30 am
While the SEC notes the continued impact of COVID-19 on investment advisers and the investment industry, the SEC reported an increase in examinations conducted during FY21, with the total number of completed examinations close to the pre-pandemic levels of FY19. [read post]
1 Feb 2010, 11:12 am
SEC, FSA Officials Meet to Continue Strategic DialogueSEC Chairman Mary Schapiro met with U.K. [read post]
27 Feb 2017, 7:47 am
The SEC began their investigation when one of the whistleblowers provided a tip to the SEC. [read post]
27 Feb 2017, 7:47 am
The SEC began their investigation when one of the whistleblowers provided a tip to the SEC. [read post]
11 Aug 2014, 7:00 am
In all likelihood, this petition is going nowhere given the SEC’s long standing animosity towards BDCs. [read post]
6 Jan 2022, 12:02 pm
Read: SEC Awards Over $13 Million To Whistleblower More SEC whistleblower news on WNN The post $13 Million SEC Whistleblower Award First of 2022 appeared first on Whistleblower Network News. [read post]
14 Jul 2011, 5:00 am
SEC. [read post]
8 Mar 2022, 12:09 pm
Read: SEC Awards More Than $3.5 Million to Whistleblower Read more SEC news on WNN The post SEC Whistleblower Receives $3.5 Million Award appeared first on Whistleblower Network News. [read post]
14 Apr 2022, 11:26 am
” SEC Commissioner Hester M. [read post]
4 Apr 2023, 12:37 pm
” Further Reading: SEC Awards More Than $12 Million to Two Whistleblowers What is the SEC Whistleblower Program? [read post]
15 Jan 2013, 11:00 am
Further in SEC v. [read post]
5 Nov 2021, 1:16 pm
According to the SEC press release, her other previous roles include “Counsel to former SEC Chair Mary Jo White, Counsel to former SEC Commissioner Kara M. [read post]
10 Jan 2022, 2:21 pm
Read: SEC Issues Awards Totaling More Than $4 Million to Whistleblowers Read more SEC news on WNN The post Whistleblowers Receive $4 Million in SEC Awards appeared first on Whistleblower Network News. [read post]
