Search for: "In Re Securities and Exchange Commission"
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16 Oct 2019, 10:01 pm
Today, though, we’ll focus on the United States Securities and Exchange Commission, or SEC, crackdown on Munchee, Inc. [read post]
14 Sep 2009, 6:44 am
In June the Treasury Department called on the Securities and Exchange Commission to look at whether investors should have the option of going to court. [read post]
26 Feb 2019, 6:25 am
In fact, the Securities and Exchange Commission (SEC) released a publication entitled: Variable Annuities: What You Should Know encouraging investors to ask questions about the variable annuity before investing. [read post]
17 Aug 2010, 1:17 pm
In 1996, Congress apportioned regulation of investment advisers between the Securities and Exchange Commission and the states based on the amount of assets that an adviser had under management. [read post]
18 May 2016, 6:34 am
On top of all this the company is the subject of several investigations by Congress and the Securities and Exchange Commission. [read post]
10 Aug 2012, 10:30 am
Specifically, the section requires the Securities and Exchange Commission (SEC) to modify the general solicitation/advertising provisions in Rule 502(c) so they will not apply to Rule 506 offerings if all purchasers in the offering are accredited investors. [read post]
5 Oct 2021, 4:59 pm
Securities and Exchange Commission (SEC) outlining her allegations. [read post]
27 Dec 2010, 10:18 am
Securities and Exchange Commission has begun an investigation into reverse takeovers and is targeting individual Chinese companies for accounting violations and lax auditing practices. [read post]
12 Feb 2010, 1:47 pm
The Securities and Exchange Commission has been taken over by former SDNY assistant U.S. attorneys: Rob Khuzami is the director of enforcement based in Washington, with Lorin Reisner as his No. 2. [read post]
2 Dec 2010, 3:00 pm
Some financial experts say they're best suited for market-savvy day-traders, others say only financial professionals should dabble in these highly risky securities, and yet others contend that this breed of investment is best avoided by everyone. [read post]
29 May 2018, 3:00 am
According to this WSJ article, the Committee’s chief counsel, Elad Roisman, may be the choice to fill the slot of departing Commissioner Mike Piwowar: The White House is considering nominating a top aide to the Senate Banking Committee chairman for a GOP opening on the Securities and Exchange Commission, according to people familiar with the matter. [read post]
2 May 2016, 7:15 am
The Dodd-Frank Act added a provision involving misappropriation of inside information to the Commodity Exchange Act (CEA), and the CFTC brought its first enforcement action under this provision last year (In re Motazedi). [read post]
30 Sep 2018, 5:16 pm
The Musk and Tesla SEC Lawsuits The facts of the US Securities and Exchange Commission (SEC) lawsuit against Elon Musk, filed September 27, 2018, are fairly straightforward. [read post]
22 Dec 2023, 4:31 am
The high-profile national security trial continues. [read post]
11 Nov 2010, 7:27 am
We’re much more interested in the 8-K that Viacom filed the other day to explain why it wouldn’t be filing an 8-K today: Due to a federal holiday, on November 11, 2010, the Securities and Exchange Commission’s (the “SEC”) EDGAR filing system will not be accepting electronic filings. [read post]
21 Mar 2018, 1:34 pm
Selon l’opinion, même si les entreprises impliquées dans l’entente d’approvisionnement ont agi de manière à garder les détails de l’invention secrets – ayant même pris le soin de caviarder les détails de l’invention -, des soumissions faites au Securities Exchange Commission ont rendu la vente publique. [read post]
23 Aug 2010, 11:36 am
Meantime, if you’re looking for hot new trends, don’t bother with Securities and Exchange Commission filings. [read post]
21 Jan 2012, 12:21 pm
Among other things, your filer status establishes the deadline by which you have to file your annual and quarterly reports with the Securities and Exchange Commission. [read post]
28 Apr 2016, 9:17 am
Private parties often do enter into various confidentiality and nondisparagement agreements, and they’re generally enforceable. [read post]
26 Jan 2018, 4:52 am
In an unprecedented move, the Duterte administration’s Security and Exchange Commission (SEC) revoked the registration of independent news organization, Rappler, and ordered them to close up shop. [read post]
