Search for: "In Re Securities and Exchange Commission"
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22 Dec 2008, 3:00 pm
As President-elect Barack Obama said today, agencies like the Securities and Exchange Commission were "asleep at the switch" while people like Bernard Madoff apparently made off with billions of dollars. [read post]
22 Jan 2007, 5:15 am
The “Explanatory Note” to the restated September 30 10-Q tells you that the restatement reflects a “reduction in estimated useful lives assigned to certain of our customer relationship intangibles as of January 1, 2006, in connection with our response to comments from the Staff of the Securities and Exchange Commission in the course of its review of our registration statement filed on Form S-1.” Later in footnote 2, the magnitude of that drop in… [read post]
21 Feb 2012, 2:00 am
Last week, a group of 14 pension funds and fund sponsors wrote this letter to the Securities and Exchange Commission. [read post]
2 Mar 2011, 7:31 am
According to its annual filing with the Securities and Exchange Commission, Finley was the fourth-highest paid executive at the company last year. [read post]
17 Jun 2009, 7:24 am
My friend David at It's Not a Lecture tipped me off last night that President Obama was going to announce new financial regulatory efforts to help prevent the Wall Street shenanigans that have put us in our current economy and to better protect American consumers.As someone who spent a bunch of years at the Securities and Exchange Commission, I'm all for trying to find ways to keep the Bernie Madoff's of the world at bay. [read post]
23 Mar 2007, 1:42 pm
In the video, Cramer candidly describes various means of illegal manipulation of stock prices, noting "the Securities and Exchange Commission doesn't get it" and asking "Who cares about the fundamentals? [read post]
22 Mar 2024, 2:30 am
The Judicial Panel on Multidistrict Litigation lottery selected the US Court of Appeals for the Eighth Circuit as the venue for hearing a case consolidating nine lawsuits against the March 6 Securities and Exchange Commission regulations filed in six different circuits, according to an order. [read post]
1 Jun 2024, 11:14 pm
Securities and Exchange Commission, Live Nation said it was “working to mitigate risk to our users” and was cooperating with law enforcement officials. [read post]
29 Jun 2022, 9:07 am
In the Matter of Nikola Corp: In Nikola, the Securities and Exchange Commission (SEC) alleged that Nikola, an electric trucking company, had falsified reports that it had successfully achieved technological milestones to increase share prices in its SPAC. [read post]
25 Mar 2010, 7:30 am
The Securities and Exchange Commission also sued the men, along with a third alleged accomplice who wasn’t criminally charged. [read post]
14 Sep 2009, 9:48 pm
Judge Rakoff refused to approve a $33 million deal that would have settled a lawsuit filed by the Securities and Exchange Commission against the Bank of America. [read post]
22 Dec 2008, 3:00 pm
As President-elect Barack Obama said today, agencies like the Securities and Exchange Commission were "asleep at the switch" while people like Bernard Madoff apparently made off with billions of dollars. [read post]
10 Dec 2013, 8:05 pm
Warren seems to enjoy new capacity to use position, Durbin-like, to punish political foes [David Henderson] Tweet Tags: Arkansas, Elizabeth Warren, politics, Securities and Exchange Commission, TexasPolitics roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
6 Nov 2007, 12:07 am
Securities and Exchange Commission in August, as it sought to launch an initial public offering. [read post]
13 Apr 2012, 6:47 pm
Securities and Exchange Commission filing that the drugmaker has settled 70 cases over the Yasmin line of contraceptives. [read post]
6 Jan 2008, 8:03 am
The official also underlined the importance in stress situations, like the current one, of effective and smooth cooperation and exchange of information between the regulators and central banks.Clarity is also needed concerning liquidity commitments to off-balance sheet vehicles, he noted, and the magnitude of assets that may be re-intermediated back onto the balance sheets of financial institutions. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
26 Mar 2012, 1:00 pm
" Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that the Securities and Exchange Commission (SEC) prepare a report considering whether there should be an SRO for investment advisers, as there is for broker-dealers. [read post]
14 Nov 2009, 4:04 pm
Miller, who like Dreier was also once with the US Securities and Exchange Commission. [read post]
30 Mar 2015, 5:38 am
The Securities and Exchange Commission agreed in a new “no-action” letter that the firm does not have to comply with independent verification and account statement delivery provisions of clauses (a)(2), (a)(3) and (a)(4) of the Custody Rule in connection with that fund. [read post]
