Search for: "In Re Securities and Exchange Commission"
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7 Jun 2010, 11:54 am
In July 2009, the Securities and Exchange Commission (SEC) filed fraud charges against the Tustin, California, lender Medical Capital Holdings in connection to private placements that the company issued to more than 20,000 investors nationwide. [read post]
6 Dec 2009, 7:50 am
Broc Romanek provides coverage of corporate governance issues and the Securities and Exchange Commission. [read post]
18 Aug 2023, 1:09 pm
” At least three agencies—the FTC, the Securities and Exchange Commission (SEC), and the Consumer and Financial Protection Bureau (CFPB)—are all in a race, as is Congress. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
19 May 2008, 7:51 am
In July 2007, the Securities and Exchange Commission adopted a rule allowing public firms an alternative to sending full packets of proxy materials to each shareholder--the "notice and access" model--whereby issuers would mail a notice to shareholders telling them that proxy materials are available via a Web site other than the SEC's EDGAR site. [read post]
1 Apr 2022, 2:07 pm
Securities and Exchange Commission (SEC) added Chinese microblogging platform Weibo to a “pre-delisting” watchlist for failing to comply with financial disclosure requirements. [read post]
4 Dec 2008, 5:56 pm
(“InVision”), made false statements in a merger agreement attached to a Form 10-K filed by InVision with the Securities and Exchange Commission (“SEC”). [read post]
4 Feb 2013, 12:16 am
Burford’s shares are listed on the London AIM exchange. [read post]
4 Dec 2009, 9:06 am
The plan would also require such funds to provide information to the Securities & Exchange Commission on a confidential basis regarding their size, borrowings, off balance sheet exposure and interdependence with other financial institutions. [read post]
20 Mar 2020, 1:00 am
The Securities and Exchange Commission’s Enforcement Division has implemented an emergency policy of “either requiring or strongly encouraging telework for its personnel, depending on their individual circumstances and each employee’s physical proximity to the workstations of two suspected COVID-19 cases,” David Mendel, an SEC assistant chief litigation counsel, said in a letter to U.S. [read post]
25 Oct 2017, 3:54 am
“The Commission will continue exchanges and dialogues with online platforms and other relevant stakeholders. [read post]
25 Oct 2017, 3:54 am
“The Commission will continue exchanges and dialogues with online platforms and other relevant stakeholders. [read post]
19 Apr 2024, 1:46 am
However, there are a few exceptions to BOIR filing: Publicly traded companies: Companies already registered with the Securities and Exchange Commission (SEC) are exempt from filing a BOIR because ownership information is already publicly available. [read post]
26 Apr 2012, 7:04 am
Both men surely knew that the enemy would watch their exchange on television or read about it on the internet. [read post]
27 Aug 2019, 7:17 am
Securities and Exchange Commission, A Resource Guide to the U.S. [read post]
27 Aug 2019, 7:17 am
Securities and Exchange Commission, A Resource Guide to the U.S. [read post]
22 Oct 2006, 9:10 pm
The Securities and Exchange Commission is now examining whether directors who sit on more than one company board may have spread the practice of backdating stock-option grants with research showing that 40 per cent of the companies under scrutiny have common directors. [read post]
16 May 2022, 9:01 pm
Needless to say, that makes it difficult for us to assess whether there’s been a violation of the securities laws. [read post]
26 Oct 2023, 6:31 am
Following the exchange about transfers, however, things went progressively south. [read post]
