Search for: "Securities and Exchange Commission v. James"
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18 Mar 2010, 5:00 am
Tambone – hosted on JD Supra Rule 10b-5 under the Securities Exchange Act of 1934 SEC v. [read post]
1 Mar 2018, 1:06 pm
For months, Defense Secretary James Mattis and other administration officials have argued against the trade barriers, noting that they could undermine American security and economic ties. [read post]
23 Oct 2012, 2:06 pm
James Cannell argued that under the test established in Boumediene v. [read post]
13 Jul 2010, 6:45 am
Treece, 549 P.2d 1152 (Wash. 1976). 3.James v. [read post]
24 Sep 2010, 7:00 am
Securities and Exchange Commission v. [read post]
24 Dec 2021, 6:26 am
Securities and Exchange Commission, on Friday, December 17, 2021 Tags: Inside information, Insider trading, Misconduct, Rule 10b-5-1, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Statement by Chair Gensler on Rule 10b5-1 and Insider Trading Posted by Gary Gensler, U.S. [read post]
14 Sep 2011, 2:00 am
O’Leary On August 30, 2011, the Securities and Exchange Commission (SEC) announced a settlement with James O’Leary, the former chief financial officer of Beazer Homes USA, to recover approximately $1.4 million in cash bonuses, incentive and equity-based compensation, and profits from his sale of Beazer stock during the period of time that the SEC alleged an individual at Beazer—but not O’Leary—was committing “accounting… [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
16 Mar 2018, 6:08 am
Securities and Exchange Commission, on Thursday, March 15, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, Securities regulation, Transparency [read post]
28 Jan 2012, 9:29 pm
Of course, there is also the $285 million settlement reached between Citigroup and the Securities and Exchange Commission that US District Judge Jed S. [read post]
12 Jul 2010, 6:36 am
The five members of the Board are appointed by the Securities and Exchange Commission ("SEC"), and are removable by the SEC only "for good cause shown" and "in accordance with" certain procedures. [read post]
23 Apr 2012, 5:11 am
Witnesses include James Giddens, trustee of the Securities Investment Protection Act liquidation of MF Global Inc.; Louis Freeh, trustee for MF Global Holdings; Jill Sommers, commissioner of the Commodity Futures Trading Commission; Robert Cook, director of the Securities and Exchange Commission's Division of Trading and Markets; Richard Ketchum, president, chairman and CEO of the Financial Industry Regulatory Authority; and Terrence Duffy,… [read post]
7 Aug 2007, 11:03 am
Chandler, et al. v. [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
15 Sep 2011, 8:44 am
Business Roundtable v. [read post]
18 May 2015, 3:00 am
Here’s an excerpt from the article: Auditor independence is a hot-button issue for the Securities and Exchange Commission’s enforcement unit. [read post]
3 Apr 2009, 5:08 pm
Updated:According to Overstock.com's (NASDAQ: OSTK) proxy statement filed with the Securities and Exchange Commission on Friday, April 2, the company's $1,250,000 payment to terminate a management consulting agreement with Icent LLC, a company headed by departing Board Member James V. [read post]
21 Sep 2018, 6:10 am
Securities and Exchange Commission, on Saturday, September 15, 2018 Tags: Boards of Directors, Index funds, Institutional Investors, Investor protection, Proxy voting, SEC, Securities regulation, Shareholder voting Streamlined SEC Disclosure Requirements Posted by James J. [read post]
28 Sep 2022, 9:12 am
This case would ultimately determine the constitutional status of Securities & Exchange Commission administrative law judges. [read post]
17 Apr 2016, 9:05 pm
James and her blames] Next term Supreme Court will consider case on scope of insider trading law, Salman v. [read post]
