Search for: "In Re Securities and Exchange Commission" Results 101 - 120 of 2,424
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31 Aug 2019, 7:00 am by Race to the Bottom
The Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”) both include investment contracts in their definition of securities. (15 U.S.C. [read post]
19 Sep 2024, 3:30 am by Meredith Ervine
  Here’s more from the 2-page fact sheet: On September 18, 2024, the Securities and Exchange Commission adopted amendments to [e]stablish a second minimum pricing increment, also known as tick size, of $0.005 under Rule 612 of Regulation NMS for the quoting of certain NMS stocks, which are stocks listed on a national securities exchange, regardless of trading venue…. [read post]
1 Apr 2015, 1:43 pm by Robert B. Milligan
By Ada Dolph, Christopher Robertson, and Robert Milligan The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud complaints in-house. [read post]
29 Dec 2011, 10:46 am
The Securities and Exchange Commission has issued a proposal seeking to impose larger penalties on wrongdoers. [read post]
15 Aug 2018, 5:00 am by eileen peck
In addition to federal criminal charges, the men also face charges by the Securities and Exchange Commission. [read post]
5 Feb 2024, 9:01 pm by renholding
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
6 Jan 2009, 6:17 am
The Securities and Exchange Commission approved requiring public companies to release interactive versions of their  financial data. [read post]
28 Aug 2008, 4:24 am
Notably, in Forest's August 8, 2008 filing with the federal Securities and Exchange Commission, the company disclosed that the only lawsuits currently pending against it other than the securities case are the cases pending in the suicidality MDL, In re Celexa and Lexapro Products Liab. [read post]
24 Jan 2009, 5:10 am
The Wall Street Journal is reporting that the Securities and Exchange Commission has launched an investigation of Duke Trustees chairman Bob Steel.Over the summer, struggling Wachovia Bank had named Steel as its CEO--preposterously citing his ability to lead institutions in a "time of turmoil" as a criterion for the selection. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
28 Feb 2023, 3:00 pm by Anne Idsal Austin and Jillian Marullo
by Anne Idsal Austin and Jillian Marullo In a “groundbreaking” complaint, environmental NGO Global Witness asked the Securities and Exchange Commission (SEC) Climate and ESG Task Force to investigate oil major Shell for possible violations of federal securities laws. [read post]