Search for: "In Re Securities and Exchange Commission"
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11 May 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
30 Oct 2023, 3:30 am
Res. 31, 116th Cong. [read post]
16 Feb 2009, 1:50 pm
Securities and Exchange Commission, the Texas State Securities Board and FINRA. [read post]
10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
29 Oct 2014, 5:41 pm
If you’re not, we won’t hesitate to collect suspended monetary judgments. [read post]
7 Jan 2022, 2:15 am
Well, check out this excerpt from the press release, which explains that while HDL is legally a corporation, it’s actually an art form: Hygienic Dress League (HDL), a legally registered corporation as a new and original form of art, today announced they have filed an application with the Securities and Exchange Commission (“SEC”) for Regulation A+ exemption to issue securities. [read post]
5 Dec 2011, 12:53 pm
Sections 15(b)(4)(E) and 15(b)(6)(A) of the Exchange Act authorize the Securities and Exchange Commission, or SEC, andnbsp;to sanction a firm or any person who fails to reasonably supervise someone subject to the supervision of that firm who violates federal securities laws. [read post]
26 Nov 2015, 9:30 pm
Securities and Exchange Commission (SEC) administrative law judges allegedly favor the SEC in their decisions, causing unfair hearings for defendants. [read post]
2 Aug 2022, 9:01 pm
Securities & Exchange Commission, 933 F.3d 1248, 1259-60 (10th Cir. 2019) (discussing the impact of Lorenzo). [10] See SEC v. [read post]
9 Apr 2020, 10:23 am
Top public health officials said they’re starting to see improvements in some of the U.S. [read post]
8 Feb 2017, 5:00 am
., 2016 BL 320577 (Sept. 27, 2016), Microsoft Corporation (“Microsoft”) asked the staff of the Securities and Exchange Commission to permit the omission of a proposal submitted by shareholder James McRitchie ("McRitchie") requesting that the board of directors amend certain provisions of its proxy access bylaw. [read post]
15 Oct 2010, 8:34 am
SUMMARY On October 4, 2010, the Securities and Exchange Commission proposed rules pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
11 Oct 2011, 7:58 pm
The SFC has been active over recent years in trying to improve the standards of sponsor work undertaken during IPO's and this case adds to the body of material in that area: 11 October 2011 Licensees disciplined for forgery and sponsor failures The Securities and Futures Commission (SFC) has prohibited Mr Wan Ten Lok (also known as Philip Wan) and Mr Sunny Yan Kwok Ting from re-entering the industry, for six years from 7 October 2011 to 6… [read post]
9 Oct 2019, 7:34 am
In fact, The Times’ analysis shows that the Securities and Exchange Commission (SEC) brought 50% more Ponzi prosecutions in the 10 years following Madoff’s arrest than in the 10 years before. [read post]
13 Jul 2017, 4:23 am
U.S. rules have for many years accommodated the current arrangement, which dates to an era when commissions were fixed by exchange rules and brokers competed by offering extra services such as research reports. [read post]
Breaking: We’re asking the SEC to investigate world's largest meat company's animal welfare promises
17 Jun 2024, 9:23 am
Securities and Exchange Commission against the largest meat and poultry company in the world, JBS and its subsidiary, Pilgrim’s Pride. [read post]
29 Jan 2018, 11:28 pm
Securities and Exchange Commission, and ICO lawyers should be watching their backs. [read post]
Innocent Mall Shoppers, You're Off the Hook: Federal Agencies Release Model GLBA Privacy Notice Form
20 Nov 2009, 5:57 pm
The agencies’ efforts in this regard were spurned by the Financial Services Regulatory Relief Act of 2006, which amended the Gramm-Leach-Bliley Act (“GLBA”) and called upon the federal financial services agencies to jointly propose a succinct and comprehensible format for GLBA privacy notices.The final model privacy notice form was developed jointly by the Board of Governors of the Federal Reserve System, Commodity Futures Trading Commission, Federal Deposit… [read post]
14 Apr 2016, 8:26 am
Lawrence, Troodler, Klein, and Oberman with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [read post]
