Search for: "In Re Securities and Exchange Commission"
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10 Feb 2012, 1:25 pm
Also, the embedded pre-payment option associated with mortgage-backed securities creates re-investment risk, which can significantly affect yield. [read post]
26 Jul 2022, 3:34 am
For their part, a number of centralized U.S. cryptoasset exchanges have explicitly noted that they only list assets that they determine not to be securities. [read post]
13 Oct 2022, 9:00 am
Securities and Exchange Commission (SEC) about Facebook’s conduct. [read post]
21 Mar 2012, 9:55 am
Securities and Exchange Commission (“SEC”), and its stock is publicly traded on the New York Stock Exchange. [read post]
17 Sep 2011, 4:28 pm
Prior to graduation she worked as a full-time intern at the Securities and Exchange Commission in the Division of Market Regulation Office of Chief Counsel in Washington, DC. [read post]
15 Oct 2008, 2:11 pm
Even though I worked at the Securities and Exchange Commission for a number of years, trying to explain things like derivatives was never my strong suit. [read post]
2 Mar 2023, 9:01 pm
Securities and Exchange Commission, before the SEC’s Investor Advisory Committee in Washington, D.C. [read post]
28 Sep 2022, 6:31 am
Key Takeaways SEC expected to release revised rules on clawback policies in October Comments focused on how to categorize restatements based on impact Clawback policies are already the market norm in most industries Health Care has one of the lowest adoption rates for clawback policies New rules may prompt companies to re-examine the scope of their policies The Securities and Exchange Commission is poised to revise its rules on so-called clawbacks: the process of… [read post]
17 Apr 2016, 9:05 pm
Newman” [Richard Epstein, Yale Law Journal on Second Circuit’s decision via Stoll] DoJ cracks down on big-investor activism — at least when of a sort antitrust enforcers don’t like [Matt Levine] Tags: antitrust, Department of Justice, Elizabeth Warren, guns, NYC, Operation Choke Point, Securities and Exchange Commission Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
19 Nov 2008, 9:52 pm
For those of you anxious to sink your teeth into the delicious prose of the Security and Exchange Commission, the complete manual is available here. [read post]
16 Mar 2010, 7:21 am
Separate civil charges by the Securities and Exchange Commission are pending. [read post]
29 Jan 2009, 4:03 pm
It was a serious lapse of judgment, not to mention responsibility, on the part of the Federal Reserve under Greenspan and the Securities and Exchange Commission under Christopher Cox to fail to seek more comprehensive information far earlier about the surge of lending. . . . [read post]
10 Jul 2024, 1:27 pm
Sources: SEC Alleges Fraudulent Securities Offering of Alternative AssetsSecurities and Exchange Commission v. [read post]
7 Nov 2014, 8:55 am
The comment period on the re-proposed rule was reopened this summer and staff is reviewing comments. [read post]
22 Jul 2008, 3:31 pm
Moreover, products offered to the general public or retail investors require the prior authorization of the Securities and Futures Commission. [read post]
7 Jun 2022, 7:31 am
Un tribunal américain a déjà reconnu que la Securities and Exchange Commission des États-Unis (SEC) possédait une vaste compétence en émettant une injonction pour interrompre la livraison de cryptomonnaies à des investisseurs étrangers. [read post]
29 Sep 2011, 1:38 pm
The Securities and Exchange Commission, or SEC, has also held broker-dealers accountable. [read post]
30 Mar 2023, 10:04 am
Greg Lindberg The recent news that the US Securities and Exchange Commission (SEC) charged North Carolina-based insurance entrepreneur Greg Lindberg, his company, Northstar Financial Services Bermuda, and one of his investment officers, Christopher Herwig, is no surprise to investors who lost money to them. [read post]
21 Jul 2011, 1:18 pm
Rule 2340 simply says, "Charges, if any, for services performed, including miscellaneous services such as collection of moneys due for principal, dividends, or interest; exchange or transfer of securities; appraisals, safe-keeping or custody of securities, and other services, shall be reasonable and not unfairly discriminatory between customers. [read post]
23 Apr 2018, 1:20 am
Cyan permits a class action asserting Section 11 or 12(a)(2) claims under the 1933 Act to proceed in state court while a related Section 10(b) class action is proceeding under the Securities Exchange Act of 1934 Act (“1934 Act”) in federal court. [read post]
