Search for: "In Re Securities and Exchange Commission"
Results 1121 - 1140
of 2,832
Sorted by Relevance
|
Sort by Date
24 May 2009, 11:37 pm
International Trade Commission, 545 F.3d 1340 (Fed. [read post]
20 Jan 2023, 5:55 am
They also should agree to appoint the transitional justice commission, created in a 2021 law but never formed, and other relevant commissions to coordinate strategy and reforms across the sector. [read post]
25 Nov 2016, 1:01 am
Securities and Exchange Commission, on Saturday, November 19, 2016 Tags: Accountability, Algorithmic trading, Corporate crime, Disclosure, Financial regulation, Financial reporting, Insider trading, Investor protection, Market conditions, Misconduct, Private equity, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities litigation, Securities regulation, Whistleblowers Lower Performance for Target Pay? [read post]
18 Apr 2018, 12:19 pm
Kohn, Executive Director of the National Whistleblower Center, stated that “Congress needs to ensure that the Securities and Exchange Commission does its job. [read post]
21 Nov 2016, 3:00 am
WHAT IS AN EXCHANGE TRADED FUND (ETF)? [read post]
26 Jun 2014, 7:40 am
You’re not likely to have the document for a real estate investment. [read post]
16 Feb 2020, 9:38 am
Securities and Exchange Commission (SEC), died February 15. [read post]
6 Jul 2016, 9:49 am
The findings stated that as a result of his conduct, DiVenuto violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and FINRA Rule 2020. [read post]
25 May 2023, 9:25 am
On 23 May 2023, the Securities and Futures Commission (the SFC) published its much anticipated consultation conclusions (the Consultation Conclusions) on the proposed regulatory requirements for virtual asset (VA) trading platform operators (Platform Operators). [read post]
15 Nov 2012, 12:36 pm
" BP also announced that it had reached agreement with the United States government, subject to court approval, to resolve all Federal criminal charges and all claims by the Securities and Exchange Commission (SEC) against the company stemming from the Deepwater Horizon accident, oil spill, and response. [read post]
17 Mar 2021, 10:46 am
Securities and Exchange Commission (the “SEC”) Allison Herren Lee announced that the SEC would be seeking the public’s comments on climate-related disclosure, as the agency continues to consider the broader spectrum of environmental, social, and governance (“ESG”) disclosure issues.[2] For many companies, an ESG policy is a roadmap for responsible corporate decision making and respecting the planet and its people. [read post]
29 Jun 2021, 2:54 pm
Securities and Exchange Commission, 139 S.Ct. 1094 (2019) (“Lorenzo”) to revive the plaintiff’s “tacked on” scheme liability claims. [read post]
14 Jun 2016, 6:26 am
With the voice of experience, the FCC’s sister Commission provides support, criticism. [read post]
2 Sep 2022, 7:41 am
One such category of these pooled asset investments is “life settlement funds,” but the Securities and Exchange Commission (SEC) and others are warning that many of these funds are a scam. [read post]
24 Feb 2012, 4:32 am
The SEC Knows But Isn’t Telling by Francine McKenna in re: The Auditors Section 10A of the Securities and Exchange Act of 1934 requires reporting by auditors to the Securities and Exchange Commission (SEC) when, during the course of a financial audit, an auditor detects likely illegal acts that have a material impact on the financial statements and appropriate remedial action is not being taken by management or the board of… [read post]
20 Aug 2021, 7:10 am
"During the panel discussion, Berkovitz explained that intermediaries (in the June 8, 2021 speech he identified "banks, exchanges, futures commission merchants, payment clearing facilities, and asset managers") reinforce the stability of U.S. markets. [read post]
18 Apr 2013, 2:10 pm
Even the normally slow-to-act Securities and Exchange Commission (SEC) now recognises social media services (including Twitter) as an 'approved' method of disclosing certain types of corporate information in an era of constantly-changing pervasive communication methods. [read post]
15 Nov 2021, 8:16 am
Parking REIT Exec Charged with Fraud As we previously reported, the Securities and Exchange Commission on July 30, charged an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
7 Jun 2011, 1:55 pm
See In re Alstom SA Sec. [read post]
22 Mar 2022, 12:40 pm
In particular, the United States Securities and Exchange Commission has used the four-part test first developed in the United States Supreme Court’s landmark decision in SEC v. [read post]
