Search for: "In Re Securities and Exchange Commission"
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2 Apr 2007, 1:57 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKBusiness Law SEC Motion for Disgorgement, Interest, Penalties In Connection With Fraudulent Offering Granted Securities and Exchange Commission v. [read post]
12 Feb 2009, 9:28 pm
In a filing to the Securities and Exchange Commission, the investment bank said it had discovered actions initiated by an unnamed China-based employee that "appear to have violated" the act. [read post]
22 Feb 2016, 4:36 pm
The registration process requires that the information provided is accurate; however, the Securities and Exchange Commission (SEC, which was created under the 1934 Act) does not guarantee its accuracy. [read post]
5 Jul 2023, 10:00 am
We’re meant to find that shocking!) [read post]
28 Jul 2023, 6:26 pm
Exhibit 1 Commission President Ursula von der Leyen introduced a “de-risking” proposal in March 2023 for navigating dependency risks in relations with China. [read post]
20 Jun 2024, 12:05 pm
A workers’ compensation attorney can streamline the claims process, advocate for your rights, and secure the full benefits you deserve. [read post]
3 Jul 2009, 5:22 am
I believe that Congress was quite clear when it gave the Commission "power to control the conditions under which proxies may be solicited" in the Securities Exchange Act of 1934. [3] The legislation gave a pretty broad authority to the Commission. [read post]
12 Jan 2010, 6:31 am
But the sad fact is that our regulators have become increasingly somnolent in recent years, with the Securities and Exchange Commission and prosecutors bringing far fewer cases during the Bush administration than they did in years past. [read post]
22 Apr 2009, 1:54 pm
Securities and Exchange Commission accusing him and 11 others of defrauding more than 600 investors of more than $28 million in a Ponzi scheme. [read post]
20 Aug 2012, 7:53 am
Just one example of the fraud perpetuated by the corporate leaders was outlined in the so-called Abacas lawsuit, in which the Securities and Exchange Commission had alleged that the company didn't inform investors of the role played by a hedge fund in betting against the securities. [read post]
19 Oct 2018, 7:32 am
The timing of the tweet and the stock price increase brought about an investigation by the Stock Exchange Commission (SEC). [read post]
17 Aug 2022, 5:55 am
The Ukrainian government, however, has a different view: confiscation of Russian assets is central to its proposal for an International Claims Commission for Ukraine. [read post]
20 Oct 2016, 9:30 pm
Securities and Exchange Commission (SEC) reportedly approved a plan that will increase oversight of markets for debt securities issued by the U.S. [read post]
21 Jan 2012, 2:17 pm
TAKE ACTION Send your comment to tell the Securities and Exchange Commission to require public companies to disclose their political spending. [read post]
16 Apr 2011, 11:43 am
The MFA strongly emphasized that the proposed 15-day period is simply inadequate for hedge fund managers to value illiquid securities. [read post]
25 Feb 2016, 10:00 pm
Securities and Exchange Commission (SEC) and other parties had expressed about what they felt was a hastily-crafted rule that would “harm low- and middle-income Americans by increasing the cost of investment advice,” as well as “investors and the U.S. capital markets. [read post]
17 Nov 2010, 11:51 am
The recent weeks brought a flood of quarterly reports as companies on calendar years rushed to file their 10-Qs with the Securities and Exchange Commission. [read post]
14 Mar 2022, 2:46 pm
SPACs have another label, thanks to Securities and Exchange Commission (SEC) rules – a blank check company issuing penny stocks. [read post]
23 Mar 2012, 2:48 pm
In response, Solis said that her department has received comments from both the House and Senate as well as from additional stakeholders, and will coordinate with the Securities and Exchange Commission (SEC) in re-drafting the rule. [read post]
3 Apr 2011, 9:48 pm
” In regulatory papers filed with the Securities and Exchange Commission (SEC) last Friday Transocean noted "the tragic loss of life" in the Gulf when the rig operated by BP PLC exploded last April. [read post]
