Search for: "In Re Securities and Exchange Commission"
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24 Apr 2018, 3:00 am
” The Martin Act, a 1921 New York securities law that predates the creation of the federal Securities and Exchange Commission, grants sweeping powers exceeding even those of Washington. [read post]
14 Jan 2023, 6:33 pm
Now the Securities and Exchange Commission (SEC) is charging Easterbrook with lying to and misleading investors by failing to disclose the extent of his romantic relationships with his employees. [read post]
27 Feb 2024, 4:20 am
” “We’re close,” President Biden told reporters yesterday, adding, “There are too many innocent people that are being killed. [read post]
31 Jan 2022, 4:21 pm
SEC Chairman Gary Gensler is full of ideas for expanding the Security and Exchange Commission's security requirements for brokers, public companies, and those who service the financial industry. [read post]
6 Jul 2011, 5:00 am
If they are operating overseas, they may have hedges in place to reduce foreign exchange risk. [read post]
21 Jan 2011, 2:14 pm
‘Authorizing FINRA to enforce the Advisers Act would free existing Commission resources spent examining dual registrants to be re-directed to other investment advisers. [read post]
9 Jul 2009, 12:39 pm
Separately, the Securities and Exchange Commission today filed civil charges in the case. [read post]
16 Apr 2010, 5:00 am
Shows Common Errors, Checks Consistency by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet Information that might be of interest for those public companies preparing to comply with the Securities and Exchange Commission’s XRBL mandate for the first time: A new white paper detailing some of the most common errors companies make related to XBRL U.S. [read post]
3 Sep 2021, 3:30 am
“Catalyst has become aware that Robinhood has been giving away shares of Catalyst’s common stock at no charge as part of its promotional program,” Catalyst Chief Executive Patrick McEnany wrote in a June comment letter to the Securities and Exchange Commission. [read post]
18 Jul 2007, 10:39 am
Today comes another brick in the wall -- the head of the Securities and Exchange Commission is telling Congress that municipal finance reporting is currently so scary that the board which regulates that field -- the Government Accounting Standards Board -- needs to be given new powers. [read post]
7 Mar 2019, 6:19 am
Peirce also expressed her appreciation of CII's active participation in the Commission's disclosure reform efforts. [read post]
15 Feb 2022, 2:05 pm
Claims brought following the de-SPAC are similar to securities lawsuits brought against other public companies, arising under Section 10(b), Section 14(a) and/or Section 20(a) of the Securities Exchange Act. [read post]
10 Apr 2023, 8:56 am
Nelson, J.D.A group of professors from Wharton, NYU and Georgetown, some of whom previously worked at the SEC, submitted a petition for rulemaking to the Commission asking for a re-write of Securities Act Rule 144 to add a lockup period for unregistered shares issued via direct listings. [read post]
8 Jul 2022, 1:00 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 Mar 2018, 3:34 pm
The Fifth Circuit’s decision, however, has not deterred the Securities and Exchange Commission (SEC) from continuing to discuss implementing its own fiduciary rule. [read post]
30 Apr 2012, 3:39 pm
General Solicitation and General Advertising in Private Offerings Section 201 of the JOBS Act requires that within 90 days of its enactment, or by July 4, 2012, the Securities and Exchange Commission revise Regulation D to eliminate the prohibition on general solicitation and general advertising in private offerings made in reliance on the safe harbor afforded by Rule 506, provided that only accredited investors participate in the offerings. [read post]
26 Jan 2015, 10:42 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
3 Nov 2011, 8:08 am
However, additional conditions apply to get the exemption from state regulation: the "new" Reg A securities must be "(i) offered or sold through a broker or dealer; (ii) offered or sold on a national securities exchange; or (iii) sold to a qualified purchaser as defined by the Commission pursuant to paragraph (3). [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
23 Jan 2020, 2:05 pm
Zhou subsequently filed, on behalf of the fund, a notice of exempt offering of securities with the Securities and Exchange Commission (SEC) related to transactions through which Zhou and her real estate company sold membership interests in the fund to investors, including firm customers. [read post]
