Search for: "In Re Securities and Exchange Commission"
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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]
28 Feb 2019, 9:30 pm
Securities and Exchange Commission (SEC) asked a federal district court to sanction Tesla CEO Elon Musk for violating the terms of his securities fraud settlement agreement with the SEC. [read post]
27 Feb 2019, 10:25 am
Securities and Exchange Commission (SEC) has noted the priority to which it has given corruption cases under the FCPA; its enforcement actions suggest the preference for civil penalties as punishment for violations of the Act.[25] The complex nature of extra territorial effects of anti-corruption measures and the weaknesses of arguments against such efforts have also been noted.[26] Indeed, financial institutions, and most notably, sovereign wealth funds, have begun to… [read post]
27 Feb 2019, 7:15 am
The astute researcher in Germany Volker Rieck has some insights into Cloudflare that the Securities and Exchange Commission would do well to review before they let Cloudflare make Mr. [read post]
26 Feb 2019, 6:25 am
In fact, the Securities and Exchange Commission (SEC) released a publication entitled: Variable Annuities: What You Should Know encouraging investors to ask questions about the variable annuity before investing. [read post]
21 Feb 2019, 2:04 pm
Also, Philadelphia said that the Securities and Exchange Commission has already reached out to four of the banks over the claims. [read post]
15 Feb 2019, 2:51 am
The Institutional Limited Partners Association and 35 of its member institutions sent a letter to the Securities and Exchange Commission pushing for stronger regulations on private equity advisory firms. [read post]
8 Feb 2019, 5:04 am
During pre-fight exchanges, McGregor called Khabib a “smelly Dagestani rat” and a “backwards cunt. [read post]
6 Feb 2019, 10:59 am
In Other News The China Securities Regulatory Commission (CSRC) announced the publication of draft rules for a “Nasdaq-style start-up board in Shanghai. [read post]
6 Feb 2019, 9:50 am
The acquittal of Simone Gbagbo in a domestic trial mirroring that of the ICC was overturned by the Supreme Court, which ordered her re-trial just days before the Amnesty. [read post]
6 Feb 2019, 5:22 am
Securities and Exchange Commission (SEC) is seeking a tool to provide a Big Data view across major blockchains. [read post]
6 Feb 2019, 4:00 am
(See “the Good,” below) We’re also seeing retaliation and PR responses. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
31 Jan 2019, 2:03 pm
A version of this article previously was published on Securities Docket. [read post]
30 Jan 2019, 8:00 am
The problem for retail investors is that leveraged loans are very risky credits and are unregulated by the Securities and Exchange Commission. [read post]
29 Jan 2019, 7:23 am
The Supreme Court has repeatedly affirmed and reaffirmed, most famously in Securities and Exchange Commission v. [read post]
28 Jan 2019, 1:34 pm
The sanctions were based on findings that Vungarala willfully violated Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder and FINRA Rules 2020 and 2010 by making materially false and misleading statements to conceal his commissions on investments made by a Native American tribe he was employed by to manage its investment portfolio. [read post]
24 Jan 2019, 9:30 pm
Securities and Exchange Commission, which cannot approve other forms of IPOs during the shutdown. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
20 Jan 2019, 11:43 pm
(Pix © Larry Catñá Backer; Bronzino Martirio di San Lorenzo, 1565-69, Florence )Judges and lawyers tend to serve as the worker bees of the large jurisprudential colonies of semiotic communities ("They do all the work in the hive, and they control most of what goes on inside. [read post]
