Search for: "In Re Securities and Exchange Commission"
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8 Jan 2021, 3:02 am
If you’re looking for an easy way to connect the dots on disclosure and ESG issues, we’ve got you covered with podcasts! [read post]
6 Sep 2016, 8:48 am
I know what you’re thinking: I’ve heard of the European Commission, but what the heck is the European Council? [read post]
19 Sep 2007, 1:50 am
(Washington - September 18, 2007) -- A broad coalition of investors, state officials with regulatory and fiscal management responsibilities, and environmental groups today filed a full petition asking the Securities and Exchange Commission (SEC) to require publicly-traded companies to assess and fully disclose their financial risks from climate change. [read post]
26 Jan 2018, 6:32 am
Securities and Exchange Commission, on Wednesday, January 24, 2018 Tags: Boards of Directors, Corporate forms, Engagement, SEC, Securities regulation, Shareholder voting Bebchuk Leads SSRN’s 2017 Citation Rankings Posted by Matt Filosa, Co-editor, Harvard Law School Program on Corporate Governance, on Wednesday, January 24, 2018 Tags: Lucian Bebchuk, Program on Corporate… [read post]
16 Feb 2018, 6:21 am
Securities and Exchange Commission, on Thursday, February 15, 2018 Tags: Board composition, Boards of Directors, Capital markets, Cybersecurity, Diversity, Dual-class stock, Engagement, Institutional Investors, Risk management, Securities regulation, Shareholder activism, Shareholder voting [read post]
24 Oct 2019, 2:40 pm
Securities and Exchange Commission (SEC) initiated three illuminating regulatory and enforcement crypto-related actions, celebrating a virtual Octoberfest of crypto-related initiatives and proclamations. [read post]
16 Oct 2012, 12:35 pm
Typically, when you sell a security you must register the sale with the Securities and Exchange Commission (SEC). [read post]
7 Jun 2019, 6:09 am
Securities and Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Fiduciary duties, FINRA, Investment advisers, Investor protection, Retail investors, SEC, SEC rulemaking, Securities regulation Statement on Final Rules Governing Investment Advice Posted by Robert J. [read post]
12 Sep 2019, 5:18 am
Here’s the except from the amended Cloudflare IPO document (Form S-1 filed with the Securities and Exchange Commission): We are subject to governmental trade sanctions laws, and export and import controls, that could impair our ability to compete in international markets and subject us to liability if we are not in full compliance with applicable laws. [read post]
13 Jan 2010, 12:01 pm
After the news conference announcing the Rearrangement of its Enforcement Program, the Securities and Exchange Commission offered a group of bloggers the chance to ask questions to Robert Khuzami, the Director of Enforcement. [read post]
24 Feb 2011, 6:41 am
Specifically, they’re pulling the plug on the Supplemental Executive Medical Plan, the latest version of which is found as an exhibit to the 10-K that Gannett filed yesterday with the Securities and Exchange Commission. [read post]
21 Dec 2009, 9:12 am
Diamond for the Eastern District of Pennsylvania raised serious questions in the case of the Securities and Exchange Commission (“SEC”) et. al. v. [read post]
2 Aug 2023, 9:33 pm
Cboe Futures Exchange, LLC v. [read post]
7 Nov 2024, 9:01 pm
And I think for a while there was better compliance, but then things slipped and we’re back here. [read post]
23 Aug 2018, 9:30 pm
Circuit to overturn the Federal Communications Commission’s (FCC) order which ended the Obama-era net neutrality rules. [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]
12 Jan 2010, 10:22 am
The company has made a formal complaint to the United States Securities and Exchange Commission and the Maryland Securities Commissioner. [read post]
20 Jan 2016, 12:28 pm
Burris responded to his termination of employment by taking his evidence against his former employer, including the recordings he had made of his colleagues, to the Securities and Exchange Commission. [read post]
18 Dec 2018, 2:55 am
J&J doesn’t want to bring the proposal up for a shareholder vote, and this week the health-care products company asked the Securities and Exchange Commission for permission to reject it. [read post]
13 Oct 2009, 4:00 am
Wal-Mart commissioned the probe from security auditors at CyberTrust as part of its efforts to become compliant with Payment Card Industry (PCI) security standards that were established in 2001. [read post]
