Search for: "In Re Securities and Exchange Commission"
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23 Feb 2018, 3:09 pm
… The Dodd-Frank Act provides specified whistleblower rights to an employee who communicates a securities law violation “to the [Securities Exchange] Commission”. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
27 Apr 2019, 3:46 am
[They’re] still buying, using investing. [read post]
30 Jan 2020, 12:42 pm
They’re complying with their mandatory reporting duties, or at least, nobody seems to be accusing them of noncompliance. [read post]
5 Jan 2018, 3:56 am
Also at the same time, the company is becoming public – to use the proper securities law terminology, its common stock is being registered under the Securities Exchange Act of 1934 – meaning that holders of shares that aren’t restricted in some way can freely sell them in the future at prevailing market prices or hold onto them, at their option. [read post]
29 Nov 2010, 11:47 am
Both entities were sued for fraud by the Securities and Exchange Commission (SEC) in the summer of 2009. [read post]
3 Feb 2022, 7:36 am
File An SEC Complaint If the defense contractor is a publicly-traded company, the Securities and Exchange Commission (SEC) may want to investigate. [read post]
29 Jun 2022, 7:17 am
That has led the Securities and Exchange Commission (SEC) to propose new rules relating to SPACs. [read post]
15 Dec 2008, 5:08 am
Securities and Exchange Commission in 1999. [read post]
27 Feb 2012, 1:16 pm
FINRA’s comments on all the products in the letter can be found below: Residential Mortgage-Backed Securities and Commercial Mortgage-Backed Securities: Due to the embedded pre-payment option associated with mortgage-backed products, these securities carry significant re-investment risk, which can strongly affect the yield investors realize. [read post]
9 Sep 2013, 12:05 am
These exclusions, sometimes referred to as the commissions exclusion (because the exclusion’s list of the types of things exclude often leads often by specifying “commissions”), formerly were a standard part of D&O insurance policies. [read post]
19 Jan 2007, 2:31 am
Securities Litigation U.S. [read post]
7 Jun 2010, 11:54 am
In July 2009, the Securities and Exchange Commission (SEC) filed fraud charges against the Tustin, California, lender Medical Capital Holdings in connection to private placements that the company issued to more than 20,000 investors nationwide. [read post]
14 Apr 2023, 2:51 am
Security Council resolutions that needlessly raised tensions and destabilized regional security. [read post]
19 May 2008, 7:51 am
In July 2007, the Securities and Exchange Commission adopted a rule allowing public firms an alternative to sending full packets of proxy materials to each shareholder--the "notice and access" model--whereby issuers would mail a notice to shareholders telling them that proxy materials are available via a Web site other than the SEC's EDGAR site. [read post]
18 Aug 2023, 1:09 pm
” At least three agencies—the FTC, the Securities and Exchange Commission (SEC), and the Consumer and Financial Protection Bureau (CFPB)—are all in a race, as is Congress. [read post]
1 Apr 2022, 2:07 pm
Securities and Exchange Commission (SEC) added Chinese microblogging platform Weibo to a “pre-delisting” watchlist for failing to comply with financial disclosure requirements. [read post]
19 Apr 2024, 1:46 am
However, there are a few exceptions to BOIR filing: Publicly traded companies: Companies already registered with the Securities and Exchange Commission (SEC) are exempt from filing a BOIR because ownership information is already publicly available. [read post]
4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
4 Feb 2013, 12:16 am
Burford’s shares are listed on the London AIM exchange. [read post]
