Search for: "In Re Securities and Exchange Commission"
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26 Mar 2007, 1:10 pm
The problem is "there's no transparency -- you're reliant on your broker to shop your policy around," says Mary Schapiro, chairman of the National Association of Securities Dealers, which published an "Investor Alert" on life settlements last month (available at nasd.com). [read post]
15 Feb 2023, 4:26 am
The Biden administration is discussing a possible prisoner exchange with Iran in a bid to secure the release of American citizens detained in the country. [read post]
1 Sep 2023, 1:20 pm
According to the Securities and Exchange Commission (SEC), at least 13 Peruvian whistleblowers have joined the rank of the over 5,000 international whistleblowers to use the Dodd-Frank Act to report a violation of U.S. securities laws. [read post]
15 Nov 2015, 2:53 pm
These bills propose to modify the Securities Exchange Act of 1934 to require mandatory disclosure requirements for “covered issuers,” which includes those that have annual worldwide global receipts in excess of $100 million. [read post]
5 Oct 2011, 7:23 am
So let’s hear it for the brave souls at the Securities and Exchange Commission who decided to call a company out for just such an approach. [read post]
19 Jun 2012, 7:34 am
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of pay-to-play regulation and the Commission’s attempt to implement federal pay-to-play restrictions for registered investment advisers. [read post]
13 May 2008, 4:15 am
If you're a member of the site, input your email address on the blog to get new entries pushed out to you. [read post]
19 Dec 2019, 9:05 pm
Securities and Exchange Commission (SEC) and sell them on a public exchange. [read post]
23 Jun 2018, 8:42 am
The Securities Exchange Commission (SEC) has been granting a record number of awards to whistleblowers alerting the authorities to securities fraud. [read post]
31 Aug 2018, 1:18 pm
We rely on contributions from our generous readers, and now, as a thank you, we're offering a Lawfare challenge coin! [read post]
30 Aug 2016, 12:27 pm
In addition to firing the four employees for alleged misconduct, Allstate also filed its annual 10-K form with the Securities and Exchange Commission and sent a memo to approximately 355 employees in its investment department. [read post]
5 Jul 2011, 5:00 am
In early 2006, the Securities and Exchange Commission began inspecting Dana’s accounting system. [read post]
6 Sep 2016, 8:48 am
I know what you’re thinking: I’ve heard of the European Commission, but what the heck is the European Council? [read post]
19 Sep 2007, 1:50 am
(Washington - September 18, 2007) -- A broad coalition of investors, state officials with regulatory and fiscal management responsibilities, and environmental groups today filed a full petition asking the Securities and Exchange Commission (SEC) to require publicly-traded companies to assess and fully disclose their financial risks from climate change. [read post]
8 Jan 2021, 3:02 am
If you’re looking for an easy way to connect the dots on disclosure and ESG issues, we’ve got you covered with podcasts! [read post]
16 Feb 2018, 6:21 am
Securities and Exchange Commission, on Thursday, February 15, 2018 Tags: Board composition, Boards of Directors, Capital markets, Cybersecurity, Diversity, Dual-class stock, Engagement, Institutional Investors, Risk management, Securities regulation, Shareholder activism, Shareholder voting [read post]
26 Jan 2018, 6:32 am
Securities and Exchange Commission, on Wednesday, January 24, 2018 Tags: Boards of Directors, Corporate forms, Engagement, SEC, Securities regulation, Shareholder voting Bebchuk Leads SSRN’s 2017 Citation Rankings Posted by Matt Filosa, Co-editor, Harvard Law School Program on Corporate Governance, on Wednesday, January 24, 2018 Tags: Lucian Bebchuk, Program on Corporate… [read post]
24 Oct 2019, 2:40 pm
Securities and Exchange Commission (SEC) initiated three illuminating regulatory and enforcement crypto-related actions, celebrating a virtual Octoberfest of crypto-related initiatives and proclamations. [read post]
16 Oct 2012, 12:35 pm
Typically, when you sell a security you must register the sale with the Securities and Exchange Commission (SEC). [read post]
7 Jun 2019, 6:09 am
Securities and Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Fiduciary duties, FINRA, Investment advisers, Investor protection, Retail investors, SEC, SEC rulemaking, Securities regulation Statement on Final Rules Governing Investment Advice Posted by Robert J. [read post]
