Search for: "In Re Securities and Exchange Commission"
Results 941 - 960
of 2,832
Sort by Relevance
|
Sort by Date
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
18 Dec 2019, 4:00 am
The company’s current CEO recently stated that the company is cooperating with the Securities and Exchange Commission. [read post]
15 Dec 2019, 12:12 am
Western nations have condemned China's rights record, including a security crackdown that has detained an estimated one million mostly Muslim minorities in re-education camps in northwest Xinjiang region. [read post]
13 Dec 2019, 3:15 am
We’re continuing to post memos in our “Direct Listings” Practice Area. [read post]
13 Dec 2019, 12:53 am
Bringing together female compliance professionals to provide practical learning skills in the compliance world as well as worthwhile opportunities for networking and mentoring. 25-26 March 2019 | London, UKDiscover more information The Securities and Exchange Commission wants bad guys to know: ‘We’re watching’ by Bob PisaniCNBC I spent a day at SEC headquarters with the regulators Chairman Jay Clayton and the co-directors of… [read post]
12 Dec 2019, 9:05 pm
Security and Exchange Commission calculates civil penalties is outdated and unable to respond to sophisticated trading violations. [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]
3 Dec 2019, 9:56 am
It is so great to rekindle our feisty exchanges! [read post]
3 Dec 2019, 7:43 am
It is so great to rekindle our feisty exchanges! [read post]
3 Dec 2019, 7:43 am
It is so great to rekindle our feisty exchanges! [read post]
3 Dec 2019, 6:30 am
The company is also the subject of class action lawsuits and is under investigation by the FBI, FINRA, The Securities and Exchange Commission, the State of Massachusetts, and New York City’s Business Integrity Commission. [read post]
28 Nov 2019, 9:05 pm
Securities and Exchange Commission require public companies to disclose information on the risks climate change poses to their business and that the Federal Reserve Board require financial firms to consider climate risk in their capital planning process. [read post]
22 Nov 2019, 3:00 am
National/Federal Court to Bar Release of His Tax Returns MSN – Adam Liptak (New York Times) | Published: 11/14/2019 President Trump asked the U.S. [read post]
20 Nov 2019, 12:15 pm
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). [read post]
20 Nov 2019, 12:15 pm
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). [read post]
15 Nov 2019, 3:00 am
Energy Secretary Rick Perry secured a potentially lucrative oil and gas exploration deal from the Ukrainian government soon after Perry proposed one of the men as an adviser to the country’s new president. [read post]
8 Nov 2019, 3:00 am
Securities and Exchange Commission, failing to include about US$2.46 billion in investments. [read post]
2 Nov 2019, 10:49 am
According to the Wall Street Journal: [Cloudflare’s IPO disclosure form, its SEC Form S-1], filed with the Securities and Exchange Commission last month, was amended last week. [read post]
1 Nov 2019, 7:30 am
GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. [read post]
1 Nov 2019, 3:05 am
Yesterday, ISS announced that it had filed this lawsuit against the SEC – which challenges the Commission-level guidance that was issued back in August. [read post]
