Search for: "In Re Securities and Exchange Commission"
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15 Jul 2017, 6:16 am
So I will instead re-hash old blog posts on this issue with — when necessary updated information. [read post]
14 Jul 2017, 2:36 pm
Securities & Exchange Commission (“SEC”) concluded that, from 2002 through 2012, Qualcomm Inc. engaged in several instances of conduct that violated the FCPA. [read post]
14 Jul 2017, 2:36 pm
Securities & Exchange Commission (“SEC”) concluded that, from 2002 through 2012, Qualcomm Inc. engaged in several instances of conduct that violated the FCPA. [read post]
14 Jul 2017, 6:00 am
Securities and Exchange Commission. [read post]
13 Jul 2017, 4:23 am
U.S. rules have for many years accommodated the current arrangement, which dates to an era when commissions were fixed by exchange rules and brokers competed by offering extra services such as research reports. [read post]
4 Jul 2017, 6:46 pm
This is a problem we set out to improve a couple of years ago in the US with the introduction of Sqoop, a free data journalism site intended to make it easier for reporters to find and track public records, starting with the Securities and Exchange Commission (SEC), the Patent Office, and the federal court system, otherwise known as PACER (public access to court automated records). [read post]
30 Jun 2017, 8:30 am
The exchange was part of a larger effort to develop ties between the two nations’ militaries and demonstrate common resolve. [read post]
29 Jun 2017, 9:30 pm
Securities and Exchange Commission (SEC), are entitled to anti-retaliation protections. [read post]
23 Jun 2017, 11:00 am
-China Diplomatic and Security Dialogue in Washington, D.C. [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
10 Jun 2017, 6:45 am
The case was about the statute of limitations for Securities and Exchange Commission (SEC) actions for disgorgement, and footnote three said: “Nothing in this opinion should be interpreted as an opinion on whether courts possess authority to order disgorgement in SEC enforcement proceedings or on whether courts have properly applied disgorgement principles in this context. [read post]
8 Jun 2017, 9:30 pm
Securities and Exchange Commission (SEC) can disgorge companies of profits attained through fraud so long as the SEC does so within five years of any claim of fraud. [read post]
7 Jun 2017, 4:26 am
Securities and Exchange Commission, the court held 9-0 that because SEC disgorgement operates as a penalty, the five-year statute of limitations applies to a claim for disgorgement in an SEC enforcement action. [read post]
6 Jun 2017, 8:06 am
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
6 Jun 2017, 3:58 am
So like in the Federal Reserve Board or SEC or Federal Trade Commission, you might have a different situation, where the Senate would have a role to play. [read post]
5 Jun 2017, 1:40 pm
Securities and Exchange Commission, about disgorgement in an SEC enforcement action. [read post]
31 May 2017, 3:44 pm
Securities and Exchange Commission charged ITT and the company's two top executives with fraud. [read post]
27 May 2017, 1:56 pm
They're gonna come in and we're gonna know where they came from and who they are. [read post]
15 May 2017, 10:08 am
Defendant provided the banks' employees with false information, primarily fraudulent social security numbers and home addresses. [read post]
12 May 2017, 6:15 am
There is nothing illegal about giving these donations to a politician, said Jessica Levinson, president of the Los Angeles Ethics Commission. [read post]
