Search for: "In Re Securities and Exchange Commission"
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10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
2 Aug 2022, 9:01 pm
Securities & Exchange Commission, 933 F.3d 1248, 1259-60 (10th Cir. 2019) (discussing the impact of Lorenzo). [10] See SEC v. [read post]
26 Nov 2015, 9:30 pm
Securities and Exchange Commission (SEC) administrative law judges allegedly favor the SEC in their decisions, causing unfair hearings for defendants. [read post]
9 Apr 2020, 10:23 am
Top public health officials said they’re starting to see improvements in some of the U.S. [read post]
5 Dec 2011, 12:53 pm
Sections 15(b)(4)(E) and 15(b)(6)(A) of the Exchange Act authorize the Securities and Exchange Commission, or SEC, andnbsp;to sanction a firm or any person who fails to reasonably supervise someone subject to the supervision of that firm who violates federal securities laws. [read post]
8 Feb 2017, 5:00 am
., 2016 BL 320577 (Sept. 27, 2016), Microsoft Corporation (“Microsoft”) asked the staff of the Securities and Exchange Commission to permit the omission of a proposal submitted by shareholder James McRitchie ("McRitchie") requesting that the board of directors amend certain provisions of its proxy access bylaw. [read post]
15 Oct 2010, 8:34 am
SUMMARY On October 4, 2010, the Securities and Exchange Commission proposed rules pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
11 Oct 2011, 7:58 pm
The SFC has been active over recent years in trying to improve the standards of sponsor work undertaken during IPO's and this case adds to the body of material in that area: 11 October 2011 Licensees disciplined for forgery and sponsor failures The Securities and Futures Commission (SFC) has prohibited Mr Wan Ten Lok (also known as Philip Wan) and Mr Sunny Yan Kwok Ting from re-entering the industry, for six years from 7 October 2011 to 6… [read post]
9 Oct 2019, 7:34 am
In fact, The Times’ analysis shows that the Securities and Exchange Commission (SEC) brought 50% more Ponzi prosecutions in the 10 years following Madoff’s arrest than in the 10 years before. [read post]
13 Jul 2017, 4:23 am
U.S. rules have for many years accommodated the current arrangement, which dates to an era when commissions were fixed by exchange rules and brokers competed by offering extra services such as research reports. [read post]
Breaking: We’re asking the SEC to investigate world's largest meat company's animal welfare promises
17 Jun 2024, 9:23 am
Securities and Exchange Commission against the largest meat and poultry company in the world, JBS and its subsidiary, Pilgrim’s Pride. [read post]
29 Jan 2018, 11:28 pm
Securities and Exchange Commission, and ICO lawyers should be watching their backs. [read post]
Innocent Mall Shoppers, You're Off the Hook: Federal Agencies Release Model GLBA Privacy Notice Form
20 Nov 2009, 5:57 pm
The agencies’ efforts in this regard were spurned by the Financial Services Regulatory Relief Act of 2006, which amended the Gramm-Leach-Bliley Act (“GLBA”) and called upon the federal financial services agencies to jointly propose a succinct and comprehensible format for GLBA privacy notices.The final model privacy notice form was developed jointly by the Board of Governors of the Federal Reserve System, Commodity Futures Trading Commission, Federal Deposit… [read post]
18 Jul 2007, 9:09 am
Melton, Esq., lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com Earlier this week the Securities Exchange Commission exposed a $45 million ponzi-like scheme conducted out of California. [read post]
23 Mar 2023, 7:34 am
Dodd-Frank mandated that the Securities and Exchange Commission (“SEC”) create rules within 270 days of the Act’s passage to prohibit transactions with “certain material conflicts of interest” for asset-backed securities (“ABS”). [read post]
7 Dec 2010, 6:33 am
Securities and Exchange Commission (SEC) has only allowed the agency the reach to prosecute the most flagrant abuses of securities laws. [read post]
18 Mar 2011, 3:21 am
Section 13(o) said that "[f]or purposes of this section and section 16, a person shall be deemed to acquire beneficial ownership of an equity security based on the purchase or sale of a security-based swap, only to the extent that the Commission, by rule, determines after consultation with the prudential regulators and the Secretary of the Treasury, that the purchase or sale of the security-based swap, or class of security-based swap, provides… [read post]
30 Nov 2007, 5:15 am
” See Roundtable Discussion on Proxy Voting, Securities and Exchange Commission, Thursday, May 24, 2007, (Statement by Lydia Beebe, corporate secretary, Chevron Corporation). [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Capital requirements, Financial institutions, Financial regulation, Liquidity, Proprietary trading, Securities regulation, Volcker Rule [read post]
