Search for: "In Re Securities and Exchange Commission"
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6 Aug 2009, 12:00 pm
The QDA also contains rules for the purposes of determining whether so-called “hybrid products” are to be regulated as derivatives under the QDA or as securities under Quebec securities legislation. [read post]
4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
12 Jul 2010, 6:38 am
Smith will be entitled to certain compensation benefits, subject to certain conditions relating thereto, each as previously disclosed in Ciena’s Current Report on Form 8-K filed with the Securities and Exchange Commission on February 5, 2010. [read post]
23 Aug 2023, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
9 Jun 2010, 12:57 pm
Both bills contain provisions that affirm the authority of the Securities and Exchange Commission to adopt a proxy access rule. [read post]
31 May 2023, 8:58 am
The Commodity Futures Trading Commission (CFTC) has a whistleblower program for commodity trade insiders who can provide material evidence or testimony of company violations involving the Commodity Exchange Act (CEA) and other securities and investment regulations. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
20 Aug 2012, 6:05 pm
”Kenneth Bell, Court-appointed Receiver of ZeekRewardsThe Securities and Exchange Commission ("SEC")'s shutdown of ZeekRewards last Friday left many of the estimated one million victims shocked and confused, with many still refusing to believe that they had fallen victim to one of the largest Ponzi schemes in history. [read post]
26 Apr 2022, 9:01 pm
They’re incredibly important — to individuals, companies, and governments in the U.S. and around the world. [read post]
29 Sep 2023, 2:13 pm
Considered by many as the easiest digital nomad visa to secure in all of Asia, Malaysia boasts both affordability and a reputation as one of the top expat-friendly countries globally. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
25 Sep 2009, 7:54 am
Securities and Exchange Commission staff made it clear that they believe that they have ample evidence of price-fixing and bid-rigging of municipal derivatives by JP Morgan, Bear Stearns Cos., Bank of America NA and UBS. [read post]
5 Dec 2018, 3:00 am
” But the path to compliance isn’t easy – and includes registering the securities under the Exchange Act. [read post]
9 Apr 2010, 5:00 am
Staffer One Day, Opponent the Next by Tom McGinty in the Wall Street Journal The revolving door can turn swiftly at the Securities and Exchange Commission. [read post]
27 Aug 2009, 7:35 am
" The Securities and Exchange Commission reached the settlement with the bank last month. [read post]
29 Apr 2011, 5:00 am
” Whistleblower Rules May Not Be Ready Until Summer by Joe Palazzolo in WSJ.com’s Corruption Currents After missing an April deadline, the Securities and Exchange Commission said it now expects to finalize rules for its whistleblower program by July, reports Dow Jones’ Jessica Holzer. [read post]
9 Aug 2022, 5:19 am
In its announcement, PredictIt said the “security of trader funds” is not affected by the action. [read post]
11 Aug 2009, 5:39 pm
District Judge Richard Sullivan surprised both sides by ordering DiPascali jailed immediately -- a rarity for a cooperator in a white-collar case who had pleaded guilty.Sullivan said he felt compelled to keep 52-year-old DiPascali locked up after hearing the defendant admit that, at Madoff's direction, he lied to the Securities and Exchange Commission in 2006 when he thought they might discover the fraud. [read post]
