Search for: "In Re Securities and Exchange Commission"
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6 Dec 2021, 10:37 am
And many commission agreements provide that you’re only entitled to the commission if you’re still employed when the commission is generated, even if you have already completed all your work on the deal. #5. [read post]
23 Nov 2011, 7:26 am
Public companies are required to make copious disclosures to the Securities and Exchange Commission, including audited financials that are reviewed by the S.E.C. [read post]
15 Mar 2010, 3:06 am
Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. [read post]
19 Mar 2009, 9:59 pm
In November 2006, the Committee on Capital Markets Regulation issued a report arguing for cutting back on regulation of financial markets, for limitations on private lawsuits and on lawsuits by state attorneys general, and for increased restrictions on the ability of the Securities and Exchange Commission to issue new rules. [read post]
21 Dec 2010, 3:53 pm
See In re AIG, Exchange Act Release No. 48477 (admin. proc. [read post]
18 Jan 2023, 9:05 am
As the Securities and Exchange Commission recently explained in an investor bulletin, hedge funds pool investors’ contributions into a single fund and then find investments to best maximize their collective asset. [read post]
18 Apr 2018, 12:19 pm
Kohn, Executive Director of the National Whistleblower Center, stated that “Congress needs to ensure that the Securities and Exchange Commission (SEC) does its job. [read post]
30 Sep 2010, 6:45 am
Court of Appeals, Second CircuitBusiness Law Judge Exceeded Authority in Ordering Wiretaps Turned Over to SEC in Galleon Case Securities and Exchange Commission v. [read post]
21 Dec 2010, 3:53 pm
See In re AIG, Exchange Act Release No. 48477 (admin. proc. [read post]
8 Aug 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Vanderbilt Law Review, Laura E. [read post]
21 Nov 2018, 2:26 am
Securities and Exchange Commission (SEC) and outlaw any agreement that restricts whistleblowing to law enforcement. [read post]
6 Dec 2009, 7:50 am
Broc Romanek provides coverage of corporate governance issues and the Securities and Exchange Commission. [read post]
25 Aug 2021, 3:00 am
Of the remaining 23 proposals, three received at least 10% support from shareholders, six were excluded by the Securities and Exchange Commission (SEC), and seven reached the 3% threshold necessary for us to be able to provisionally file again in 2022. [read post]
15 Sep 2008, 5:48 pm
After spending over six years as an attorney at the Securities and Exchange Commission in the late '90s and a little beyond, I can tell you that no matter what kind of leash, and no matter how slack that leash was that regulators tried to put on the banking and investment world, lobbyists and corporations won out more often than not. [read post]
15 Feb 2011, 4:15 am
Securities and Exchange Commission, http://www.sec.gov/ Favorite Legal Software: Directors Desk, http://www.directorsdesk.com/ Do you use social media resources, such as LinkedIn, Facebook, Twitter or blogs, for career and/or case development? [read post]
8 Nov 2017, 8:34 am
These protections were eventually expanded in 2010, resulting in the Dodd-Frank Wall Street Reform and Consumer Protection Act, through which the Securities Exchange Commission (SEC) provides whistleblower rewards of 10- 30% for original information of violations that lead to monetary sanctions of over $ 1million. [read post]
5 Mar 2020, 8:17 pm
And again, that “or” in “cryptography, data security, or AI” means that the Commission could end up including zero cryptography experts. [read post]
20 Apr 2022, 4:29 am
The poll by Demoskop and commissioned by the Aftonbladet newspaper showed 57% of Swedes now favoured NATO membership, up from 51% in March. [read post]
4 Dec 2011, 5:45 am
Additional Resources If you’re looking for even more guidance on plain English and drafting risk factor disclosure you can find it in the plain English rule’s adopting release, the Commission’s ever useful Plain English Handbook and Updated Staff Legal Bulletin No. 7A. [read post]
8 Apr 2013, 9:06 am
A second and related announcement came on Tuesday from the Securities & Exchange Commission. [read post]
