Search for: "In Re Securities and Exchange Commission"
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14 Jun 2016, 6:26 am
With the voice of experience, the FCC’s sister Commission provides support, criticism. [read post]
20 Aug 2021, 7:10 am
"During the panel discussion, Berkovitz explained that intermediaries (in the June 8, 2021 speech he identified "banks, exchanges, futures commission merchants, payment clearing facilities, and asset managers") reinforce the stability of U.S. markets. [read post]
2 Sep 2022, 7:41 am
One such category of these pooled asset investments is “life settlement funds,” but the Securities and Exchange Commission (SEC) and others are warning that many of these funds are a scam. [read post]
24 Feb 2012, 4:32 am
The SEC Knows But Isn’t Telling by Francine McKenna in re: The Auditors Section 10A of the Securities and Exchange Act of 1934 requires reporting by auditors to the Securities and Exchange Commission (SEC) when, during the course of a financial audit, an auditor detects likely illegal acts that have a material impact on the financial statements and appropriate remedial action is not being taken by management or the board of… [read post]
18 Apr 2013, 2:10 pm
Even the normally slow-to-act Securities and Exchange Commission (SEC) now recognises social media services (including Twitter) as an 'approved' method of disclosing certain types of corporate information in an era of constantly-changing pervasive communication methods. [read post]
15 Nov 2021, 8:16 am
Parking REIT Exec Charged with Fraud As we previously reported, the Securities and Exchange Commission on July 30, charged an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
7 Jun 2011, 1:55 pm
See In re Alstom SA Sec. [read post]
22 Mar 2022, 12:40 pm
In particular, the United States Securities and Exchange Commission has used the four-part test first developed in the United States Supreme Court’s landmark decision in SEC v. [read post]
5 May 2012, 9:24 am
I suppose one thing to consider is that according to the Securities and Exchange Commission, two months ago Costa's parent company Carnival posted $851 million recovered funds from its insurance policies which included $515 million in insurance proceeds coverage for the destroyed Concordia. [read post]
5 Jun 2012, 5:00 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires US advisers to private funds with at least $150 million in assets under management to register with the Securities and Exchange Commission as investment adviser. [read post]
1 Jul 2016, 6:11 am
Securities & Exchange Commission, on Tuesday, June 28, 2016 Tags: Accounting, Accounting standards, Board composition, Boards of Directors, Disclosure, Diversity, Engagement,Environmental disclosure, ESG, Financial reporting, Investor protection, SEC, Securities regulation, Sustainability,Transparency Does the Market Value CEO Styles? [read post]
3 Jan 2012, 8:54 pm
The Commission is soliciting comments on the subject, but they’re due by tomorrow, January 4, 2012. [read post]
27 Jan 2023, 5:09 am
The Securities and Exchange Commission has also set goals to enact new cybersecurity regulations. [read post]
2 Apr 2018, 9:08 am
The Securities and Exchange Commission has also filed civil charges against the men for the alleged fraud, which occurred from 2013 to 2014. [read post]
3 May 2007, 9:01 am
Securities and Exchange Commission ended its probe into Gradient in February, and said it would take no action. [read post]
15 Nov 2022, 7:00 am
How-to guides help readers unlock the full potential of Bloomberg’s search tools, including dockets, EDGAR (a collection of filings the Securities and Exchange Commission uses), and litigation analytics. [read post]
28 Aug 2012, 7:45 am
” Because the Act required the Securities and Exchange Commission to come up with regulations to enact the lifting of the restriction. [read post]
10 Jan 2019, 5:19 am
In a suit filed by IJ for its client, Cato, they reveal an astounding abuse by no more beloved an agency than the Securities and Exchange Commission. [read post]
2 May 2024, 8:08 am
A list of all petitions we’re watching is available here. [read post]
1 Oct 2013, 5:44 am
In response to the perceived threat presented by selective disclosure of material nonpublic information, by issuers, the Securities and Exchange Commission (SEC) adopted Regulation Fair Disclosure (“Regulation FD”) in 2000. [read post]
