Search for: "In Re Securities and Exchange Commission"
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29 Dec 2017, 6:00 am
As 2017 (finally) comes to an end, we’re looking back on an eventful year. [read post]
12 Feb 2018, 7:36 am
In this post, I would like to analyze the trend in the regulation (including guidance) by the Securities and Exchange Commission (the "SEC") of the virtual currencies offerings, often referred to as ICOs (initial coin offerings) or TGEs (token generation events). [read post]
6 Feb 2023, 9:01 pm
In addition, the staff of the Securities and Exchange Commission has recently made written requests to some public companies regarding their disclosure of risk oversight. [read post]
19 Aug 2010, 8:17 am
Its success or failure hinges on the future actions of regulators, including the Securities and Exchange Commission, he says. [read post]
22 Aug 2017, 5:00 am
., 2016 BL 376203 (Nov. 7, 2016), Walgreens Boots Alliance (“Walgreens”) asked the staff of the Securities and Exchange Commission (“SEC”) to permit omission of a proposal submitted by the Sisters of the Humility of Mary (“Shareholders”) requesting that the board of directors issue a report about the risks of the continued sales of tobacco products in Walgreens’ stores. [read post]
2 Apr 2008, 1:39 am
Fass, a partner at Proskauer Rose, having recently discussed the Securities and Exchange Commission's proposed revisions to the limited offering exemption as set forth in Regulation D, now addresses the integration proposal with respect to Reg. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
28 Oct 2013, 12:20 pm
Gould On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. [read post]
19 Nov 2018, 6:00 am
American companies are getting hacked, and the Securities and Exchange Commission wants corporate executives to do something about it. [read post]
19 Apr 2024, 2:45 pm
The Securities and Exchange Commission is the primary securities regulator in the U.S. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
2 Sep 2011, 4:30 am
The customers filed numerous securities fraud suits under the Securities Exchange Act, and Securities and Exchange Commission Rule. [read post]
5 Jul 2015, 3:28 pm
Under the proposed rules, the national securities exchanges are required to develop listing standards requiring companies to develop and implement policies to “claw back” incentive-based compensation that “later is shown to have been awarded in error. [read post]
26 May 2011, 1:29 pm
The Securities and Exchange Commission today filed a civil action against Johnson in the U.S. [read post]
21 Aug 2012, 9:30 pm
(Image of the SEC headquarters is provided by the Securities and Exchange Commission and used under a Creative Commons license) [read post]
13 Apr 2011, 6:05 am
The bond funds also are the subject of Securities and Exchange Commission probe, according to people familiar with the matter. [read post]
22 Jul 2021, 6:13 am
Then any offer sale to retail participants, of course, must also comply with our securities laws and register and be on-exchange if exchanges are affected by those rules as well," said Gensler.Archegos collapse and family office rules. [read post]
23 Aug 2010, 4:30 am
In a first action of its kind, the Securities and Exchange Commission announced Aug. 18 that it filed settled administrative charges that the state of New Jersey violated federal securities laws by making misrepresentations in connection with certain municipal bond offerings (In re State of New Jersey, SEC, Admin. [read post]
3 Feb 2008, 10:33 pm
Securities and Exchange Commission, and also a Women's Law and Public Policy Fellow and Harvard Fellow in Public Interest Law at TransAfrica Forum, a Washington, D.C., based NGO that focuses on U.S. foreign policy toward Africa and the Caribbean. [read post]
4 Sep 2020, 6:27 pm
John Kennedy (R-La) and Chris Van Hollen (D-Md) that would prohibit securities of a company from being listed on any of the U.S. securities exchanges if the company has failed to comply with PCAOB audits for three years in a row. [read post]
