Search for: "In Re Securities and Exchange Commission"
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7 Jun 2018, 5:32 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Brokers, Fined & SanctionedMichael Bruce Ralby (CRD #1301072, Boca Raton, Florida) Without admitting or denying the findings, Ralby consented to the sanction and to the entry of findings that he refused to appear for a FINRA on-the-record testimony in connection with its investigation into whether he had… [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]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
21 Aug 2013, 6:52 pm
Required Content of Exchange Notice The Exchange Notice content mandated by FLSA Section 18B is fairly limited. [read post]
13 Aug 2015, 6:27 am
They’re suffering illiquidity and ignorance, and earning much less than what they ought to be earning. [read post]
7 Dec 2009, 12:43 pm
The appellate court concluded that (1) short selling was squarely within the heartland of the securities business and (2) the Securities Exchange Commission not only had authority to regulate the role of the prime brokers in short selling and the borrowing fees charged by prime brokers under Sec. 10(a) of the Securities Exchange Act of 1934, but the agency exercised its authority to regulate the role of the prime brokers in short selling. [read post]
25 Apr 2008, 6:32 am
As reported in today’s Wall Street Journal, the MBA degree was listed in at least 19 Securities and Exchange Commission filings. [read post]
13 Sep 2009, 7:24 pm
Cayman Res. [read post]
27 Nov 2009, 11:03 am
On Dec. 15, 2008, the Securities and Exchange Commission (SEC) charged National Lampoon CEO Daniel Laikin and others of engaging in fraudulent schemes to manipulate the market by generating purchases of company stock in exchange for pre-arranged cash kickbacks. [read post]
4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
6 Aug 2009, 12:00 pm
The QDA also contains rules for the purposes of determining whether so-called “hybrid products” are to be regulated as derivatives under the QDA or as securities under Quebec securities legislation. [read post]
25 Nov 2008, 9:46 pm
To facilitate the administration of preneed contracts and trusts, the Securities and Exchange Commission has issued a series of “No Action Letters” regarding the preneed contract or the preneed master trust. [read post]
3 Aug 2018, 6:00 am
Securities and Exchange Commission. [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
23 Aug 2023, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
12 Jul 2010, 6:38 am
Smith will be entitled to certain compensation benefits, subject to certain conditions relating thereto, each as previously disclosed in Ciena’s Current Report on Form 8-K filed with the Securities and Exchange Commission on February 5, 2010. [read post]
9 Jun 2010, 12:57 pm
Both bills contain provisions that affirm the authority of the Securities and Exchange Commission to adopt a proxy access rule. [read post]
31 May 2023, 8:58 am
The Commodity Futures Trading Commission (CFTC) has a whistleblower program for commodity trade insiders who can provide material evidence or testimony of company violations involving the Commodity Exchange Act (CEA) and other securities and investment regulations. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
