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1 Apr 2022, 6:15 pm
After months of SEC warnings that SPAC regulation was coming, and after numerous SPAC deals lost investor value post-deal, the SEC has proposed rules (subject to comment and amendment) that are a combination of traditional SEC disclosure requirements and imposition of substantial penalties if a deal goes South. [read post]
1 Sep 2009, 11:36 am
The SEC's Office of Inspector General released a report on The SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs) on August 27. [read post]
8 May 2012, 5:00 am
In SEC v. [read post]
25 Apr 2024, 11:36 am
Securities and Exchange Commission (SEC) Whistleblower Program, says Allison Herren Lee, former SEC Commissioner and currently Of Counsel at the whistleblower firm Kohn, Kohn & Colapinto. [read post]
4 Mar 2014, 4:21 am
Debunking the "SEC as Insider Traders" Study: SEC Staffers Ain't Driving Ferraris Last week, a new study by an accounting professor and a doctoral student became a minor media darling as it shows that stock trades by SEC Staffers produce abnormal returns. [read post]
18 Mar 2021, 6:25 am
The Dodd-Frank Act requires that the SEC protect the identity of all whistleblowers. [read post]
17 Jan 2007, 9:59 pm
John White, the SEC's Director of the Division of Corporation Finance, tried to assuage international concerns about the SEC's role in the IFRS last week. [read post]
18 Jan 2013, 7:00 am
The SEC will not permit a retaliation. [read post]
20 Mar 2009, 3:11 pm
I spoke with the SEC a few weeks ago regarding the SEC Enforcement manual. [read post]
27 Apr 2009, 10:27 am
Next week the SEC will be considering modifications to the short sales rules. [read post]
13 Apr 2015, 6:12 am
Ceresney, Director of the SEC’s Division of Enforcement. [read post]
5 Mar 2018, 5:57 am
SEC Crypto Subpoenas Aboundhttp://bitcoinist.com/sec-subpoenas-techcrunch-founders-crypto-fund-everyone-else/ [read post]
5 Apr 2022, 7:27 am
” Read: Order Determining Whistleblower Award Claims Bipartisan SEC Whistleblower Reform Act Introduced More SEC Whistleblower News on WNN The post SEC Whistleblowers Receive Awards for Instigating Investigation appeared first on Whistleblower Network News. [read post]
27 Nov 2023, 9:05 pm
Securities and Exchange Commission (SEC), Gary Gensler, has led the SEC on a “transparency rampage,” according to Alexander I. [read post]
29 Nov 2022, 6:14 am
According to the SEC whistleblower order, the SEC took into consideration these facts when issuing the award. [read post]
14 Feb 2023, 9:53 am
Further Reading: The SEC’s Award Order What is the SEC Whistleblower Program? [read post]
11 Feb 2019, 9:38 am
A couple of weeks ago, a three-judge panel of the United States Circuit Court (for the non-lawyers: the highest Federal courts except for the Supreme Court) decided the case of SEC v Scoville, which in effect held that the SEC has enforcement powers against alleged securities frauds which are primarily extra-territorial. [read post]
11 Feb 2019, 9:38 am
A couple of weeks ago, a three-judge panel of the United States Circuit Court (for the non-lawyers: the highest Federal courts except for the Supreme Court) decided the case of SEC v Scoville, which in effect held that the SEC has enforcement powers against alleged securities frauds which are primarily extra-territorial. [read post]
14 Nov 2013, 6:05 am
The SEC's press release regarding the case is at the SEC web site.On November 12, 2013 the SEC announced its first deferred prosecution agreement with an individual. [read post]
9 Sep 2023, 8:10 am
Burt, Regional Director of the SEC’s Denver Office. [read post]
