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11 Sep 2024, 9:01 pm
NVIDIA: Pleading Standards for Scienter and Falsity In NVIDIA, shareholders brought a putative class action lawsuit under Section 10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission (SEC) Rule 10b-5, alleging that NVIDIA and several of its officers intentionally misrepresented the extent to which the computing company’s gaming-segment revenues were driven by selling its graphic processing units (GPU) to cryptocurrency… [read post]
18 Feb 2022, 6:01 am
Securities and Exchange Commission, on Saturday, February 12, 2022 Tags: Misconduct, SEC, SEC enforcement, Securities enforcement, Securities regulation, Whistleblowers The LSE’s New Voluntary Carbon Market Solution Posted by Amy Kennedy, Kenneth J. [read post]
13 Sep 2021, 4:20 am
His website explains: "In response to myriad requests from Ombuds Office Visitors, the University of Mississippi’s Office of the Ombuds is now able to offer visitors a point-to-point secure method of exchanging documents with the Ombuds Office, bypassing systems controlled by the University and subject to possible eavesdropping by University administrators or other University personnel. [read post]
Supreme Court holds individuals must report to the SEC to qualify as whistleblowers under Dodd-Frank
24 Feb 2018, 1:17 pm
On Wednesday, February 21, 2018, the US Supreme Court resolved a circuit split by unanimously holding that an employee must report suspected securities law violations to the US Securities and Exchange Commission (“SEC”) in order to qualify as a whistleblower entitled to protection from retaliation under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”). [read post]
5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
1 Oct 2021, 12:59 pm
A securities opinion written by Judge Easterbrook of the U.S. [read post]
16 Apr 2024, 1:47 pm
Regulatory Compliance: Ensuring that the joint venture complies with applicable local and international laws, including antitrust and competition laws, securities regulations, licensing requirements and foreign exchange controls, is also key. [read post]
21 Oct 2022, 10:05 am
According to the Securities and Exchange Commission (SEC), it was a classic “pump and dump” scheme. [read post]
20 Jul 2021, 8:48 am
If the PCAOB is unable to inspect the issuer’s public accounting firm for three consecutive years, the issuer’s securities are banned from trade on a national exchange or through other methods. [read post]
22 Sep 2016, 12:42 pm
The International Organization of Securities Commissioners (IOSCO) provides contact information for most securities regulators on its website. [read post]
25 Jul 2012, 6:25 am
Securities and Exchange Commission. [read post]
23 Mar 2022, 9:55 am
Securities and Exchange Commission (the “SEC”) released a long-anticipated proposed amendment to its rules under the Securities Act of 1933 (“Securities Act”) and Securities Exchange Act of 1934 (“Exchange Act”). [read post]
11 Nov 2015, 8:01 am
Security Council to press the parties to return to talks that abruptly fell apart in April 2014. [read post]
30 Aug 2011, 8:40 am
Securities and Exchange Commission to require companies to provide more disclosure about their political spending. [read post]
19 Jun 2024, 6:04 am
The Securities and Exchange Commission has charged R.R. [read post]
28 Jun 2022, 7:00 am
Earlier this month, the Securities and Exchange Commission filed its first-ever civil lawsuit seeking to enforce Regulation Best Interest. [read post]
21 Jul 2008, 3:05 pm
Related Web Resources: Firms hurry to comply with SEC subpoenas, Boston.com, July 17, 2008 SEC Issues Subpoenas in Banking Probe, TheStreet.com, July 16, 2008 US Securities and Exchange Commission [read post]
1 Sep 2022, 11:21 am
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
21 Sep 2020, 6:35 am
Securities and Exchange Commission (SEC) announced it was awarding nearly $250,000 to joint whistleblowers whose whistleblower tip led the SEC to open an investigation. [read post]
20 Oct 2014, 5:59 am
It is widely considered that the most significant change to U.S. financial regulation in the past 100 years was the Securities Act of 1933 and the subsequent creation of the Securities and Exchange Commission (SEC) to enforce it. [read post]
