Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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15 Sep 2021, 6:16 am
Securities and Exchange Commission. [read post]
8 Apr 2014, 1:31 pm
Larissa Lee has posted The Ban Has Lifted: Now is the Time to Change the Accredited-Investor Standard on SSRN with the following abstract: On July 10, 2013, the United States Securities and Exchange Commission lifted an eighty-year ban on general... [read post]
4 Mar 2011, 7:16 am
Securities and Exchange Commission, before the United States Senate Committee on Agriculture, Nutrition and Forestry on... [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
10 Dec 2007, 4:18 am
The United States District Judge for the Middle District of Florida granted the Commission’s motion for summary judgment against Kirkland and permanently enjoined him from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange …Read More... [read post]
10 Aug 2009, 7:02 am
The United States Securities and Exchange Commission (the "SEC") recently sued Maynard Jenkins, former chief executive officer of CSK Auto Corporation ("CSK"), to reimburse CSK and its stockholders for more than $4 million worth of bonuses and stock sales while CSK was allegedly committing accounting fraud. [read post]
26 May 2017, 12:38 pm
§ 2462.District Court As set forth in the United States District Court for the District of New Mexico's ("DNM's") “Summary” portion of Securities and Exchange Commission, Plaintiff, v. [read post]
6 Oct 2021, 6:52 am
Securities and Exchange Commission. [read post]
22 Apr 2015, 7:13 am
Short selling is defined by the United States Security and Exchange Commission as ” the sale of a stock that an investor does not own or a sale which is consummated by the delivery of a stock borrowed by, or for the account of, the investor. [read post]
22 Jul 2012, 4:58 pm
Background The Appellants, Scott and Brian Lines (the “Lines”), became the subjects of a complaint filed by the United States Security Exchange Commission (“SEC”) for alleged infractions of U.S. securities laws. [read post]
24 Feb 2017, 2:26 am
Securities and Exchange Commission, Plaintiff, v. [read post]
23 Feb 2017, 10:08 am
Securities and Exchange Commission, Plaintiff, v. [read post]
26 Mar 2018, 3:20 pm
The United States Securities and Exchange Commission (SEC) recently published updated interpretative guidance concerning the duty of covered public companies to disclose […] [read post]
26 Mar 2018, 3:20 pm
The United States Securities and Exchange Commission (SEC) recently published updated interpretative guidance concerning the duty of covered public companies to disclose […] [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
14 May 2021, 8:31 am
Securities and Exchange Commission (SEC) to regulate the securities markets in the United States, and it routinely issues Investor Alerts warning of risks for individual investors. [read post]
2 Jun 2009, 2:09 am
Corporate governance developments in the United States may affect Canadian companiesTorys LLP"The Securities and Exchange Commission is proposing to give shareholders of U.S. public companies the right to have their nominees for election as directors included on the company's proxy alongside the board's nominees. [read post]
17 May 2011, 1:00 pm
It was Ratified by the President of the United States on May 19, 1937. [read post]
2 Sep 2009, 2:20 pm
The SEC released today the REPORT OF INVESTIGATION, UNITED STATES SECURITIES AND EXCHANGE COMMISSION OFFICE OF INSPECTOR GENERAL, Case No. [read post]
25 Sep 2017, 8:13 pm
The press release states in part: The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. [read post]
