Search for: "In Re Securities and Exchange Commission"
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22 Oct 2006, 9:10 pm
The Securities and Exchange Commission is now examining whether directors who sit on more than one company board may have spread the practice of backdating stock-option grants with research showing that 40 per cent of the companies under scrutiny have common directors. [read post]
27 Aug 2019, 7:17 am
Securities and Exchange Commission, A Resource Guide to the U.S. [read post]
27 Aug 2019, 7:17 am
Securities and Exchange Commission, A Resource Guide to the U.S. [read post]
16 May 2022, 9:01 pm
Needless to say, that makes it difficult for us to assess whether there’s been a violation of the securities laws. [read post]
25 Oct 2017, 3:54 am
“The Commission will continue exchanges and dialogues with online platforms and other relevant stakeholders. [read post]
25 Oct 2017, 3:54 am
“The Commission will continue exchanges and dialogues with online platforms and other relevant stakeholders. [read post]
26 Apr 2012, 7:04 am
Both men surely knew that the enemy would watch their exchange on television or read about it on the internet. [read post]
26 Oct 2023, 6:31 am
Following the exchange about transfers, however, things went progressively south. [read post]
26 Mar 2007, 1:10 pm
The problem is "there's no transparency -- you're reliant on your broker to shop your policy around," says Mary Schapiro, chairman of the National Association of Securities Dealers, which published an "Investor Alert" on life settlements last month (available at nasd.com). [read post]
1 Sep 2023, 1:20 pm
According to the Securities and Exchange Commission (SEC), at least 13 Peruvian whistleblowers have joined the rank of the over 5,000 international whistleblowers to use the Dodd-Frank Act to report a violation of U.S. securities laws. [read post]
15 Nov 2015, 2:53 pm
These bills propose to modify the Securities Exchange Act of 1934 to require mandatory disclosure requirements for “covered issuers,” which includes those that have annual worldwide global receipts in excess of $100 million. [read post]
15 Feb 2023, 4:26 am
The Biden administration is discussing a possible prisoner exchange with Iran in a bid to secure the release of American citizens detained in the country. [read post]
5 Oct 2011, 7:23 am
So let’s hear it for the brave souls at the Securities and Exchange Commission who decided to call a company out for just such an approach. [read post]
19 Dec 2019, 9:05 pm
Securities and Exchange Commission (SEC) and sell them on a public exchange. [read post]
13 May 2008, 4:15 am
If you're a member of the site, input your email address on the blog to get new entries pushed out to you. [read post]
19 Jun 2012, 7:34 am
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of pay-to-play regulation and the Commission’s attempt to implement federal pay-to-play restrictions for registered investment advisers. [read post]
23 Jun 2018, 8:42 am
The Securities Exchange Commission (SEC) has been granting a record number of awards to whistleblowers alerting the authorities to securities fraud. [read post]
31 Aug 2018, 1:18 pm
We rely on contributions from our generous readers, and now, as a thank you, we're offering a Lawfare challenge coin! [read post]
30 Aug 2016, 12:27 pm
In addition to firing the four employees for alleged misconduct, Allstate also filed its annual 10-K form with the Securities and Exchange Commission and sent a memo to approximately 355 employees in its investment department. [read post]
5 Jul 2011, 5:00 am
In early 2006, the Securities and Exchange Commission began inspecting Dana’s accounting system. [read post]
