Search for: "In Re Securities and Exchange Commission"
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7 Sep 2010, 5:00 am
Sources: Release No. 34-62834 In Re: LACE Financial Corp. and Barron Putnam Release No. 34-62835 In Re: Damyon Mouzon SEC Charges NRSRO with Violation of 10% Rule by Barbara Black in Securities Law Prof Blog 17 CFR 240.17g-1 et seq. [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
31 Aug 2017, 11:00 am
The SEC declined to issue the requested no action letter under Rules 14a-8(c) and 14a-8(i)(10) of the Securities Exchange Act. [read post]
5 Dec 2019, 3:00 am
Here’s the intro of the article: When Securities and Exchange Commission Chairman Jay Clayton handed a policy win to corporate executives this month, he pointed to a surprising source of support: a mailbag full of encouragement from ordinary Americans. [read post]
18 Jun 2015, 9:30 pm
Securities and Exchange Commission (SEC) proposed a rule introducing new requirements for Form ADV, the registration form used by investment advisers, including that advisers submit information about separately managed accounts, and their social media use. [read post]
21 Oct 2011, 12:00 am
Without admitting any wrongdoing, a Citigroup subsidiary agreed to pay $285 million to settle charges brought by the Securities and Exchange Commission (SEC) claiming the firm misled buyers of a complex mortgage investment. [read post]
19 Jul 2018, 9:30 pm
Securities and Exchange Commission’s (SEC) traditional regulatory framework to ICOs because not all digital currencies are definitively classified as securities. [read post]
27 Apr 2022, 5:54 am
” According to the whistleblower complaint filed with the Securities and Exchange Commission (SEC), Facebook’s internal research concluded that 13.5 percent of teen girls on Instagram say the platform makes thoughts of “Suicide and Self-Injury” worse. [read post]
24 May 2009, 11:37 pm
International Trade Commission, 545 F.3d 1340 (Fed. [read post]
7 Jun 2019, 6:36 am
In December 2017 The Securities and Exchange Commission (SEC) Connecticut-based investment advisory firm and its principal, McClure, with breaching their fiduciary duties and defrauding advisory clients by repeatedly purchasing securities that generated significant amounts of undisclosed compensation. [read post]
7 Dec 2009, 7:43 am
The appellate panel found that the Commission had sufficient regulatory authority under Exchange Act Section 10(a). [read post]
7 Aug 2008, 12:15 pm
With the relationship contractual, Broadridge is free of any direct regulation of the Commission or the securities laws. [read post]
20 Jan 2023, 5:55 am
They also should agree to appoint the transitional justice commission, created in a 2021 law but never formed, and other relevant commissions to coordinate strategy and reforms across the sector. [read post]
25 Nov 2016, 1:01 am
Securities and Exchange Commission, on Saturday, November 19, 2016 Tags: Accountability, Algorithmic trading, Corporate crime, Disclosure, Financial regulation, Financial reporting, Insider trading, Investor protection, Market conditions, Misconduct, Private equity, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities litigation, Securities regulation, Whistleblowers Lower Performance for Target Pay? [read post]
18 Apr 2018, 12:19 pm
Kohn, Executive Director of the National Whistleblower Center, stated that “Congress needs to ensure that the Securities and Exchange Commission does its job. [read post]
16 Feb 2020, 9:38 am
Securities and Exchange Commission (SEC), died February 15. [read post]
6 Jul 2016, 9:49 am
The findings stated that as a result of his conduct, DiVenuto violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and FINRA Rule 2020. [read post]
15 Nov 2012, 12:36 pm
" BP also announced that it had reached agreement with the United States government, subject to court approval, to resolve all Federal criminal charges and all claims by the Securities and Exchange Commission (SEC) against the company stemming from the Deepwater Horizon accident, oil spill, and response. [read post]
25 May 2023, 9:25 am
On 23 May 2023, the Securities and Futures Commission (the SFC) published its much anticipated consultation conclusions (the Consultation Conclusions) on the proposed regulatory requirements for virtual asset (VA) trading platform operators (Platform Operators). [read post]
17 Mar 2021, 10:46 am
Securities and Exchange Commission (the “SEC”) Allison Herren Lee announced that the SEC would be seeking the public’s comments on climate-related disclosure, as the agency continues to consider the broader spectrum of environmental, social, and governance (“ESG”) disclosure issues.[2] For many companies, an ESG policy is a roadmap for responsible corporate decision making and respecting the planet and its people. [read post]
