Search for: "In Re Securities and Exchange Commission"
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22 Nov 2008, 4:28 pm
The '33 Act and the Securities Exchange Act of 1934, which regulates securities exchanges and provides for periodic disclosure to investors, form an interlocking regulatory structure built on, "[…] a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, and so long as they hold… [read post]
1 Mar 2017, 9:30 pm
Securities and Exchange Commission, and other agencies have long had to defend their regulations in cost-justified terms. [read post]
28 Mar 2019, 10:25 pm
Securities and Exchange Commission rule may still be found liable for employing “any device, scheme, or artifice to defraud” or engaging in any practice that operates “as a fraud or deceit. [read post]
25 May 2010, 11:34 pm
Patrick Byrne intoxicated after drinking too much alcohol Amidst an ongoing Securities and Exchange Commission investigation into financial reporting violations by Overstock.com (NASDAQ: OSTK), CEO Patrick Byrne's 100% controlled High Plains Investments LLC dumped 140,000 company shares and collected over $3 million in proceeds during the last several days, according to SEC filings. [read post]
11 Nov 2021, 9:03 pm
Securities and Exchange Commission approved the Public Company Accounting Oversight Board’s Rule 6100. [read post]
29 Aug 2013, 4:26 am
Other national securities exchanges do not have a similar internal audit requirement, although Nasdaq had previously proposed adopting one. [read post]
29 Jun 2017, 9:30 pm
Securities and Exchange Commission (SEC), are entitled to anti-retaliation protections. [read post]
15 Feb 2013, 7:11 am
., are calling for the Securities and Exchange Commission (SEC) to move the process of regulating so-called “crowdfunding” Web sites closer to its front burner.When President Obama signed into law the Jump Start Our Business Startups (JOBS) legislation in April, 2012, he and Congress took official notice of the existence for the preceding few years of a fund-raising technique for small and startup businesses called “crowdfunding. [read post]
9 Oct 2013, 6:00 am
Last week, Twitter filed its Form S-1 — the public prospectus required ahead of an initial public offering — with the Securities and Exchange Commission. [read post]
13 Feb 2012, 4:06 am
, FINRA, NYSE, Nasdaq, etc.), but can also be influenced by the Securities and Exchange Commission, which oversees the SROs and can require that they adopt rules related to discretionary voting, and by Congress through the legislative process. [read post]
1 Nov 2010, 11:51 am
Securities and Exchange Commission or the Commodity Futures Trading Commission stand to get between 10% and 30% of a penalty that is over $1 million. [read post]
26 Sep 2008, 2:19 pm
In my lawyer life, I spent seven years at the Securities & Exchange Commission, most of them as an enforcement attorney (no, I didn't get a cool badge or anything).I'm no Alan Greenspan, though I've always been fond of the phrase "naked short selling. [read post]
9 Sep 2024, 9:01 pm
Board of Governors of the Federal Reserve and Securities and Exchange Commission v. [read post]
10 Nov 2020, 7:19 am
That could open the door to a brief, but potentially consequential, chairwomanship by Peirce, who has advocated for more aggressive action to promote blockchain-related interests, such as cryptocurrency-based exchange-traded funds and to protect the early distribution of tokens from being deemed securities transactions. [read post]
5 Apr 2024, 4:54 am
U.S. officials believe negotiating a pause in the fighting and the exchange of Israeli hostages held in Gaza for Palestinian prisoners held in Israel is the only way to secure a temporary cease-fire and increase humanitarian aid. [read post]
18 May 2022, 4:32 am
The Commission also intends to use the pivot away from Moscow to quicken its shift to green energy. [read post]
7 Jun 2024, 11:00 pm
Organizations must incorporate human-centric security. [read post]
7 Jun 2024, 11:00 pm
Organizations must incorporate human-centric security. [read post]
10 Jan 2018, 2:17 pm
Securities and Exchange Commission, 17-130, and Securities and Exchange Commission v. [read post]
16 Dec 2011, 9:10 am
Relying principally on the First Circuit’s decision in In re TJX Cos. [read post]
