Search for: "In Re Securities and Exchange Commission"
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5 Jun 2012, 5:00 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires US advisers to private funds with at least $150 million in assets under management to register with the Securities and Exchange Commission as investment adviser. [read post]
5 May 2012, 9:24 am
I suppose one thing to consider is that according to the Securities and Exchange Commission, two months ago Costa's parent company Carnival posted $851 million recovered funds from its insurance policies which included $515 million in insurance proceeds coverage for the destroyed Concordia. [read post]
1 Jul 2016, 6:11 am
Securities & Exchange Commission, on Tuesday, June 28, 2016 Tags: Accounting, Accounting standards, Board composition, Boards of Directors, Disclosure, Diversity, Engagement,Environmental disclosure, ESG, Financial reporting, Investor protection, SEC, Securities regulation, Sustainability,Transparency Does the Market Value CEO Styles? [read post]
3 Jan 2012, 8:54 pm
The Commission is soliciting comments on the subject, but they’re due by tomorrow, January 4, 2012. [read post]
27 Jan 2023, 5:09 am
The Securities and Exchange Commission has also set goals to enact new cybersecurity regulations. [read post]
1 Oct 2013, 5:44 am
In response to the perceived threat presented by selective disclosure of material nonpublic information, by issuers, the Securities and Exchange Commission (SEC) adopted Regulation Fair Disclosure (“Regulation FD”) in 2000. [read post]
2 Apr 2018, 9:08 am
The Securities and Exchange Commission has also filed civil charges against the men for the alleged fraud, which occurred from 2013 to 2014. [read post]
3 May 2007, 9:01 am
Securities and Exchange Commission ended its probe into Gradient in February, and said it would take no action. [read post]
15 Nov 2022, 7:00 am
How-to guides help readers unlock the full potential of Bloomberg’s search tools, including dockets, EDGAR (a collection of filings the Securities and Exchange Commission uses), and litigation analytics. [read post]
28 Aug 2012, 7:45 am
” Because the Act required the Securities and Exchange Commission to come up with regulations to enact the lifting of the restriction. [read post]
15 Jul 2021, 2:54 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
24 Apr 2018, 3:00 am
” The Martin Act, a 1921 New York securities law that predates the creation of the federal Securities and Exchange Commission, grants sweeping powers exceeding even those of Washington. [read post]
2 May 2024, 8:08 am
A list of all petitions we’re watching is available here. [read post]
10 Jan 2019, 5:19 am
In a suit filed by IJ for its client, Cato, they reveal an astounding abuse by no more beloved an agency than the Securities and Exchange Commission. [read post]
27 Feb 2024, 4:20 am
” “We’re close,” President Biden told reporters yesterday, adding, “There are too many innocent people that are being killed. [read post]
14 Jan 2023, 6:33 pm
Now the Securities and Exchange Commission (SEC) is charging Easterbrook with lying to and misleading investors by failing to disclose the extent of his romantic relationships with his employees. [read post]
31 Jan 2022, 4:21 pm
SEC Chairman Gary Gensler is full of ideas for expanding the Security and Exchange Commission's security requirements for brokers, public companies, and those who service the financial industry. [read post]
6 Jul 2011, 5:00 am
If they are operating overseas, they may have hedges in place to reduce foreign exchange risk. [read post]
21 Jan 2011, 2:14 pm
‘Authorizing FINRA to enforce the Advisers Act would free existing Commission resources spent examining dual registrants to be re-directed to other investment advisers. [read post]
16 Apr 2010, 5:00 am
Shows Common Errors, Checks Consistency by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet Information that might be of interest for those public companies preparing to comply with the Securities and Exchange Commission’s XRBL mandate for the first time: A new white paper detailing some of the most common errors companies make related to XBRL U.S. [read post]
