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10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
20 May 2009, 11:48 am
The Securities and Exchange Commission proposed rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, commission officials said. [read post]
23 Feb 2007, 9:08 am
The President's Working Group on Financial Markets (the heads of the Treasury, Federal Reserve, Securities and Exchange Commission and Commodity Futures Trading Commission) issued it report on whether to regulate hedge funds. [read post]
10 Feb 2011, 12:38 pm
The Securities and Exchange Commission's Inspector General David Kotz said the Commission needs more funding to shore up deficiencies underlying regulatory failures and wasteful decisions, according to Jessica Holzer [read post]
8 Jun 2011, 8:31 am
Ervin, who has worked at the Commodity Futures Trading Commission and the Securities and Exchange Commission, will join the law firm's Washington office as a partner. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
19 May 2009, 4:38 pm
The Securities and Exchange Commission will propose new rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, according to commission officials. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
29 Mar 2011, 6:43 pm
However, as Woolner points, not all defendants of US Securities and Exchange Commission cases are also charged in criminal court over the alleged securities fraud. [read post]
11 Jul 2019, 6:26 am
Securities and Exchange Commission. [read post]
4 May 2010, 10:08 pm
Slovak has agreed to pay $25,000 to resolve Securities and Exchange Commission charges that she committed Texas securities fraud. [read post]
19 Jul 2011, 7:45 am
On July 15, 2011, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint against First Capital Savings & Loan, Ltd. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
