Search for: "U. S. Securities and Exchange Commission"
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9 Apr 2018, 12:59 pm
Most notably, Sarbanes-Oxley applies to all “employees” who report misconduct to the Securities and Exchange Commission (SEC or Commission), any other federal agency, Congress, or an internal supervisor. 18 U. [read post]
6 Jun 2014, 6:08 am
[National Law Journal] * Even though she claims nothing is “fundamentally broken,” Securities and Exchange Commission chairwoman Mary Jo White proposed “sweeping” new stock market regulations in an attempt to get with the times. [read post]
28 Oct 2011, 6:57 am
The Securities and Exchange Commission and other regulators have now begun their own inquiries into the $687 million payout, according to people briefed on the inquiries. [read post]
20 Apr 2023, 6:47 am
Cochran, which involves similar constitutionality concerns about the Securities and Exchange Commission’s administrative proceedings. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
27 Mar 2020, 3:26 pm
The Commission notes that the current outbreak of COVID-19 may present challenges to entities and their representatives in timely meeting certain filing obligations under the federal securities laws. [read post]
29 Aug 2012, 12:29 pm
On August 22, 2012, the United States Securities and Exchange Commission passed a new rule regarding section 1504 of the Dodd-Frank Wall Street Financial Reform Act (the “Act”) which focuses on transparency of natural resource payments. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
26 Oct 2023, 9:01 pm
Securities and Exchange Commission (the “SEC”) had highlighted certain legal challenges in executing a bail-in under the U.S. securities laws. [read post]
18 May 2022, 9:01 pm
I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. [read post]
17 Jul 2019, 8:17 am
Reg D private placements are typically sold by brokerage firms in exchange for a large up front commission. [read post]
28 Aug 2023, 7:36 am
” The SEC’s order finds that 3M violated the books and records and internal accounting controls provisions of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. [read post]
1 Dec 2023, 12:15 am
This contrasts sharply with the Schedule 14C of the Securities and Exchange Commission, which requires extensive and very detailed disclosure requirements on companies with class of securities registered pursuant to Section 12 of the Exchange Act or of a class of securities issued by an investment company registered under the Investment Company Act of 1940 that has made a public offering of securities . [read post]
15 Jul 2010, 6:35 pm
The US Securities and Exchange Commission and former SEC attorney Gary Aguirre have settled his wrongful termination lawsuit for $755,000. [read post]
30 Nov 2012, 2:00 am
The staff at the Securities and Exchange Commission recently released the 2012 Annual Report on the Dodd-Frank Whistleblower Program. [read post]
6 Aug 2015, 1:59 pm
On August 4, 2015 the Securities and Exchange Commission issued interpretive guidance elaborating its view that the anti-retaliation provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act apply equally to tipsters who claim retaliation after reporting internally, as well as those who are retaliated against after reporting information to the SEC. [read post]
30 May 2007, 4:57 pm
Securities and Exchange Commission granted Tenet Healthcare Corp. an unusual break: The company will be given protection against shareholder lawsuits even though it is being punished for fraud. [read post]
2 Dec 2014, 7:31 am
’s securities exchanges and certain other trading platforms and market participants.[1] Reg SCI will supersede and replace the SEC’s current Automation Review Policy (ARP). [read post]
21 Jan 2011, 9:46 am
While in substantial part this may be old news, the Securities and Exchange Commission announced the amendment of a cease and desist order against certin traders associated with Fidelity Investments for conduct that of course took place more than six years ago in 2005. [read post]
