Search for: "In Re Securities and Exchange Commission"
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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]
13 Jan 2010, 12:01 pm
After the news conference announcing the Rearrangement of its Enforcement Program, the Securities and Exchange Commission offered a group of bloggers the chance to ask questions to Robert Khuzami, the Director of Enforcement. [read post]
12 Sep 2019, 5:18 am
Here’s the except from the amended Cloudflare IPO document (Form S-1 filed with the Securities and Exchange Commission): We are subject to governmental trade sanctions laws, and export and import controls, that could impair our ability to compete in international markets and subject us to liability if we are not in full compliance with applicable laws. [read post]
24 Feb 2011, 6:41 am
Specifically, they’re pulling the plug on the Supplemental Executive Medical Plan, the latest version of which is found as an exhibit to the 10-K that Gannett filed yesterday with the Securities and Exchange Commission. [read post]
2 Aug 2023, 9:33 pm
Cboe Futures Exchange, LLC v. [read post]
21 Dec 2009, 9:12 am
Diamond for the Eastern District of Pennsylvania raised serious questions in the case of the Securities and Exchange Commission (“SEC”) et. al. v. [read post]
7 Nov 2024, 9:01 pm
And I think for a while there was better compliance, but then things slipped and we’re back here. [read post]
23 Aug 2018, 9:30 pm
Circuit to overturn the Federal Communications Commission’s (FCC) order which ended the Obama-era net neutrality rules. [read post]
8 Feb 2019, 5:04 am
During pre-fight exchanges, McGregor called Khabib a “smelly Dagestani rat” and a “backwards cunt. [read post]
12 Jan 2010, 10:22 am
The company has made a formal complaint to the United States Securities and Exchange Commission and the Maryland Securities Commissioner. [read post]
20 Nov 2007, 12:23 am
Patrick Murphy and Tim WalzLetter Titled, "Help Our Troops - Modernize SCRA Today"11/19/2007
Federal Reporting Results Documents from the Office of Management and Budget (PDF 188 KB)Documents Regarding the Validity of Federal Financial Information11/19/2007
GAO Report to Securities and Exchange Commission Chairman Christopher Cox (PDF 2.61 MB)Financial Audit: Securities and Exchange Commission's Financial… [read post]
20 Jan 2016, 12:28 pm
Burris responded to his termination of employment by taking his evidence against his former employer, including the recordings he had made of his colleagues, to the Securities and Exchange Commission. [read post]
18 Dec 2018, 2:55 am
J&J doesn’t want to bring the proposal up for a shareholder vote, and this week the health-care products company asked the Securities and Exchange Commission for permission to reject it. [read post]
13 Oct 2009, 4:00 am
Wal-Mart commissioned the probe from security auditors at CyberTrust as part of its efforts to become compliant with Payment Card Industry (PCI) security standards that were established in 2001. [read post]
13 Aug 2023, 9:01 pm
Securities and Exchange Commission.[2] In the same speech, Deputy Attorney General Monaco emphasized DOJ’s focus on corporate crime with national security implications, invoking an expression she’s used previously that “sanctions are the new FCPA,”[3] referencing DOJ’s intention to model sanctions enforcement on its approach to enforcing the foreign bribery law. [read post]
1 Dec 2007, 10:40 am
"She put all these papers in front of me and said, 'All these papers say is you messed up, you're going to go to TYC for a little while, you're going to come out and everything is going to be OK,' " Mr. [read post]
10 Aug 2008, 4:38 am
Nebraska Beef Ltd. is a privately-held firm which does not file annual reports with the U.S. federal Securities and Exchange Commission. [read post]
25 Oct 2012, 9:12 pm
“We’re here to tell you that size matters. [read post]
15 Oct 2021, 6:18 am
Securities and Exchange Commission, on Wednesday, October 13, 2021 Tags: Capital formation, COVID-19, SEC, Securities regulation Going Dark: Speech by Commissioner Lee on The Growth of Private Markets and the Impact on Investors and the Economy Posted by Allison Herren Lee, U.S. [read post]
28 Mar 2011, 7:02 pm
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
