Search for: "Securities and Exchange Commission"
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5 Jan 2023, 6:17 pm
The Exchange Act voids “[a]ny condition, stipulation, or provision binding any person acquiring any security to waive compliance with any provision of this title. [read post]
22 Aug 2024, 9:05 pm
Dec. 22, 2020) and Securities and Exchange Commission v. [read post]
14 Nov 2007, 8:35 am
Walter to fill current and pending vacancies at the Securities and Exchange Commission, the Washington Post reported Nov. 14. [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
15 May 2013, 8:55 am
” Jim comments on trends in Securities and Exchange Commission enforcement, the new arrivals of SEC chairwoman, Mary Jo White and Enforcement Unit co-head, Andrew Ceresney, the recent “Non-Prosecution Agreement” with Ralph Lauren, and more. [read post]
8 Nov 2023, 6:31 am
Securities and Exchange Commission. [read post]
8 Nov 2023, 6:31 am
Securities and Exchange Commission. [read post]
4 Dec 2020, 9:44 am
Securities and Exchange Commission said Friday that The Cheesecake Factory settled charges that it misled investors on the impact the pandemic was having on its business. [read post]
17 Aug 2009, 9:42 am
The Securities and Exchange Commission said Monday it was reopening the comment period on a proposed "uptick rule," as it considers a new approach to bringing back the controversial restriction. [read post]
17 Sep 2008, 10:44 pm
News release: "The Securities and Exchange Commission today took several coordinated actions to strengthen investor protections against "naked" short selling.... [read post]
15 Jun 2010, 4:11 am
The Securities and Exchange Commission has ended an investigation of Third Point, according to a letter sent by the hedge fund to its investors and posted on DealBreaker. [read post]
2 Mar 2011, 11:14 am
The proposal would require Wall Street firms to disclose bonus figures to the Securities and Exchange Commission, which could then ban any "excessive" awards. [read post]
18 Jan 2011, 10:51 am
White Collar Watch examines the possible direction of the Securities and Exchange Commission's inquiry into Wall Street's dealings with sovereign wealth funds. [read post]
28 Feb 2011, 5:56 am
CNN says that the Securities and Exchange Commission has denied Freedom of Information Act requests for the agency's communications with the major players in the private share market. [read post]
29 Mar 2010, 3:41 pm
The Securities and Exchange Commission is questioning Wall Street firms about whether they employed accounting strategies like those that Lehman Brothers was accused of using to hide leverage. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
28 Feb 2012, 3:07 pm
Goldman Sachs and Wells Fargo disclosed that they were facing inquiries from the Securities and Exchange Commission over mortgage-related investments that the firms offered to investors. [read post]
16 Sep 2009, 12:44 pm
Amid the storm of pay-to-play scandals and as pay-to-play has become an increasingly hot-button state issue, the Securities Exchange Commission […] [read post]
17 Mar 2010, 10:45 am
Henning of Watch Collar Watch argues that the Securities and Exchange Commission would benefit from the financial regulatory bill being considered by the Senate. [read post]
9 Jul 2009, 4:36 am
Securities and Exchange Commission. [read post]
