Search for: "In Re Securities and Exchange Commission"
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16 Jul 2020, 7:28 pm
The press release stated that the Department ”will continue to administer the Privacy Shield program, including processing submissions for self-certification and re-certification to the Privacy Shield Frameworks and maintaining the Privacy Shield List. [read post]
9 Jul 2009, 12:39 pm
Separately, the Securities and Exchange Commission today filed civil charges in the case. [read post]
3 Sep 2021, 3:30 am
“Catalyst has become aware that Robinhood has been giving away shares of Catalyst’s common stock at no charge as part of its promotional program,” Catalyst Chief Executive Patrick McEnany wrote in a June comment letter to the Securities and Exchange Commission. [read post]
18 Jul 2007, 10:39 am
Today comes another brick in the wall -- the head of the Securities and Exchange Commission is telling Congress that municipal finance reporting is currently so scary that the board which regulates that field -- the Government Accounting Standards Board -- needs to be given new powers. [read post]
29 Jun 2011, 7:43 am
ADMIRAL MCRAVEN: Sir, right now, as you’re well aware, that is always a difficult issue for us. [read post]
15 Feb 2022, 2:05 pm
Claims brought following the de-SPAC are similar to securities lawsuits brought against other public companies, arising under Section 10(b), Section 14(a) and/or Section 20(a) of the Securities Exchange Act. [read post]
27 Feb 2013, 10:16 pm
GSI, one of the grand daddies of the securities research business, started in the pre online world of the early 80's.The technology involved a telephone, a photocopier and a chair in reading room at the Securities and Exchange Commission Office in downtown DC. [read post]
7 Mar 2019, 6:19 am
Peirce also expressed her appreciation of CII's active participation in the Commission's disclosure reform efforts. [read post]
10 Apr 2023, 8:56 am
Nelson, J.D.A group of professors from Wharton, NYU and Georgetown, some of whom previously worked at the SEC, submitted a petition for rulemaking to the Commission asking for a re-write of Securities Act Rule 144 to add a lockup period for unregistered shares issued via direct listings. [read post]
19 Oct 2006, 1:35 am
Securities and Exchange Commission. [read post]
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 Mar 2018, 3:34 pm
The Fifth Circuit’s decision, however, has not deterred the Securities and Exchange Commission (SEC) from continuing to discuss implementing its own fiduciary rule. [read post]
30 Apr 2012, 3:39 pm
General Solicitation and General Advertising in Private Offerings Section 201 of the JOBS Act requires that within 90 days of its enactment, or by July 4, 2012, the Securities and Exchange Commission revise Regulation D to eliminate the prohibition on general solicitation and general advertising in private offerings made in reliance on the safe harbor afforded by Rule 506, provided that only accredited investors participate in the offerings. [read post]
26 Jan 2015, 10:42 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
8 Jul 2022, 1:00 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
3 Nov 2011, 8:08 am
However, additional conditions apply to get the exemption from state regulation: the "new" Reg A securities must be "(i) offered or sold through a broker or dealer; (ii) offered or sold on a national securities exchange; or (iii) sold to a qualified purchaser as defined by the Commission pursuant to paragraph (3). [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
23 Jan 2020, 2:05 pm
Zhou subsequently filed, on behalf of the fund, a notice of exempt offering of securities with the Securities and Exchange Commission (SEC) related to transactions through which Zhou and her real estate company sold membership interests in the fund to investors, including firm customers. [read post]
31 Jan 2023, 5:23 am
Last week, we reported that the Securities and Exchange Commission (SEC) is currently examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets. [read post]
4 Sep 2014, 3:19 am
Just six days after our article, Luis Aguilar, a Commissioner of the United States Securities and Exchange Commission (SEC), stated very clearly in a speech entitled “Cyber Risks in the Boardroom,”[ii] that, [B]oards must take seriously their responsibility to ensure that management has implemented effective risk management protocols. [read post]
17 Aug 2021, 10:23 am
But its September 2020 Form 8-K with the Securities and Exchange Commission said that SSNs, bank account information, usernames, and passwords might have been taken. [read post]
