Search for: "In Re Securities and Exchange Commission"
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28 Nov 2022, 9:02 am
According to a Securities and Exchange Commission (SEC) release which announced the fines, the 16 firms cited violations of the Securities Exchange Act of 1934, which required firms to reasonably supervise communications. [read post]
21 Nov 2022, 9:02 am
According to a Securities and Exchange Commission (SEC) release which announced the fines, the 16 firms cited violations of the Securities Exchange Act of 1934, which required firms to reasonably supervise communications. [read post]
2 Jun 2024, 9:01 pm
They’re laid out in the Commission’s Seaboard Report and in its Policy Statement Concerning Cooperation by Individuals.[8] They include: self-policing, self-reporting, remediation and, broadly, cooperation. [read post]
1 Apr 2016, 1:25 pm
§ 78j(b), Securities & Exchange Commission Rule 10b-5, and Section 20(a) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
8 Jul 2011, 10:06 pm
Critics have described the move by the FDIC as more stringent than clawback rules slated to be released by the Securities and Exchange Commission in a few weeks. [read post]
8 Dec 2010, 10:39 am
Temple used the information to trade in stock of major corporations in advance of prospective mergers or acquisition-related announcements, according to a federal lawsuit filed today by the Securities and Exchange Commission. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
28 Jun 2022, 5:26 am
Securities and Exchange Commission (SEC) to investigate GWG Holdings and the broker-dealers selling its L Bonds to retail customers. [read post]
1 Oct 2023, 9:01 pm
On September 27, 2023, the staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance issued 10 new Compliance & Disclosure Interpretations (C&DIs) relating to the pay-versus-performance (PVP) disclosure rules adopted last year. [read post]
23 Jun 2017, 11:00 am
-China Diplomatic and Security Dialogue in Washington, D.C. [read post]
23 Oct 2008, 6:42 pm
In a typical RMBS deal, for example, a mortgage originator or REIT will package and sell a large pool of mortgages to a special-purpose trust, which in turn (with the assistance of an underwriter) registers with the Securities and Exchange Commission to offer interest-bearing notes in various tranches, representing rights to the cash flow generated by the underlying mortgage pool. [read post]
4 Apr 2022, 9:01 pm
Generally, you’re not using them to get a cup of coffee at Good Karma on your way to class from Center City. [read post]
17 Aug 2012, 11:10 am
The Securities and Exchange Commission (SEC) has been investigating various banks regarding their involvement in the real estate crisis. [read post]
1 Nov 2010, 9:00 pm
Members who have enough points to secure the vacation accommodations they want can reserve them on a space-available basis. [read post]
15 Jul 2015, 10:20 am
Further, the issuer should check and re-check public databases for any triggering events. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
27 Aug 2020, 7:23 am
In a lawsuit brought by the Securities and Exchange Commission, the U.S. [read post]
12 Jul 2019, 8:14 am
Security futures. [read post]
27 Jun 2019, 7:43 am
Whether you’re an employee, an observer of or a victim of foreign corrupt practices, you can qualify as a CFTC whistleblower. [read post]
17 Jul 2023, 9:01 pm
Previously he worked as commissioner counsel and economist at the Securities and Exchange Commission. [read post]
