Search for: "In Re Securities and Exchange Commission"
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3 Feb 2017, 11:02 am
Securities and Exchange Commission, a warring law faculty, and a scheming mail room clerk all threaten to derail her efforts. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
21 Dec 2022, 11:18 am
Colville Confederated Tribes (Restitution) State Courts Bulletin https://www.narf.org/nill/bulletins/state/2022.html In re Adrian L. [read post]
26 Apr 2015, 8:31 pm
As a small company contemplating a Rule 504 filing under Regulation D of Security and Exchange Commission, you need to be sure you understand the rules. [read post]
9 Jan 2007, 10:56 am
Securities and Exchange Commission, a technology cheerleader who recently posted on a corporate blog, said on Monday that he uses blogs to gauge public reaction on securities issues. ... [read post]
16 Dec 2008, 2:08 pm
Ferguson was convicted in February of conspiracy, securities fraud, mail fraud and making false statements to the Securities and Exchange Commission. [read post]
11 Apr 2011, 5:00 am
Dodd-Frank put enormous pressure on the Securities and Exchange Commission to create dozens of new rules. [read post]
2 Mar 2010, 8:12 am
They’re poisoned by lawyers. [read post]
13 Nov 2007, 12:22 am
By Zusha Elinson, The RecorderSeveral Silicon Valley companies are breathing sighs of relief after learning that the Securities and Exchange Commission won't be taking any enforcement action against them for their stock option granting practices. [read post]
30 Nov 2018, 3:34 am
Federal securities rules have required quarterly reporting since 1970, when the SEC required it as part of a formalization of stock-exchange practices that preceded the agency’s creation in 1934. [read post]
24 Mar 2017, 10:16 am
This verdict from New Mexico, affirmed on appeal by the 10th Circuit, awarded the Securities and Exchange Commission (“SEC”) a disgorgement award of $34.9 million, plus $18.1 million in prejudgment interest, and a penalty of $2.4 million for Charles R. [read post]
21 Jun 2023, 1:15 pm
(Indian Child Welfare Act) In re Cal. [read post]
12 Aug 2024, 4:30 pm
The case so holding, called Jarkesy, involved the Securities and Exchange Commission and securities fraud penalties, but already the focus is shifting to the IRS. [read post]
7 Feb 2014, 5:48 am
I have long wondered what could have caused the explosion in Department of Justice (DOJ) and Securities and Exchange Commission (SEC) enforcement of the Foreign Corrupt Practices Act (FCPA). [read post]
8 Jun 2012, 4:58 pm
Under Section 922 of the Dodd-Frank Act, the Securities and Exchange Commission was charged with creating a bounty program to reward those who spoke out about securities fraud at their companies. [read post]
6 Oct 2009, 5:23 pm
Based on my forensic accounting analysis, the Securities and Exchange Commission took the very usual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
10 Jul 2024, 6:51 am
” THE MACQUARIE DECISION: The first paragraph of the opinion summarizes the issue and the result with unusual brevity and clarity: “Securities and Exchange Commission (SEC) Rule 10b– 5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements made” misleading. [read post]
17 Jun 2014, 11:19 pm
In Compliance Week, Joe Mont reported that the Securities and Exchange Commission (SEC) brought its first enforcement action for a company’s retaliation against a whistleblower. [read post]
12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
22 Dec 2019, 9:17 am
Securities and Exchange Commission (SEC) and FBI investigations, and even GPB’s chief compliance officer being indicted for illegally obtaining information on the SEC’s investigation. [read post]
