Search for: "In Re Securities and Exchange Commission"
Results 121 - 140
of 2,526
Sorted by Relevance
|
Sort by Date
2 Nov 2023, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
24 Jan 2009, 5:10 am
The Wall Street Journal is reporting that the Securities and Exchange Commission has launched an investigation of Duke Trustees chairman Bob Steel.Over the summer, struggling Wachovia Bank had named Steel as its CEO--preposterously citing his ability to lead institutions in a "time of turmoil" as a criterion for the selection. [read post]
28 Aug 2008, 4:24 am
Notably, in Forest's August 8, 2008 filing with the federal Securities and Exchange Commission, the company disclosed that the only lawsuits currently pending against it other than the securities case are the cases pending in the suicidality MDL, In re Celexa and Lexapro Products Liab. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
22 Dec 2009, 5:30 am
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
28 Feb 2023, 3:00 pm
by Anne Idsal Austin and Jillian Marullo In a “groundbreaking” complaint, environmental NGO Global Witness asked the Securities and Exchange Commission (SEC) Climate and ESG Task Force to investigate oil major Shell for possible violations of federal securities laws. [read post]
21 Sep 2019, 6:17 am
Securities and Exchange Commission from Kenneth A. [read post]
31 May 2016, 10:12 am
Securities and Exchange Commission (SEC), companies are often left in the dark with regard to whether and/or when they should publicly disclose that they are under investigation. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
16 Dec 2024, 9:01 pm
Securities and Exchange Commission. [read post]
20 Sep 2018, 7:30 am
Securities and Exchange Commission. [read post]
16 Dec 2024, 9:03 pm
ENDNOTE [1] See Staff of the Division of Trading and Markets, Securities and Exchange Commission, “Re: Simplified Process for Electronic Filing of Broker-Dealer Annual Report with the Securities and Exchange Commission” (Jan. 17, 2017), available at https://www.sec.gov/divisions/marketreg/mr-noaction/2017/finra-012717-electronic-filing-annual-reports.pdf. [read post]
23 Aug 2024, 12:15 am
Last Friday, Elevai Labs Inc. filed a preliminary information statement with the Securities and Exchange Commission disclosing that its stockholders had "approved the re-domestication of the Company from a Delaware corporation to a Nevada corporation". [read post]
3 May 2023, 11:54 am
Last week, Coinbase launched its first counteroffensive against the Securities Exchange Commission’s (“SEC”) aggressive enforcement posturing in the cryptoeconomy. [read post]
16 Dec 2022, 12:16 pm
The Securities and Exchange Commission proposes 1,656 pages of regulation that would re-engineer the equities market in the name of fixing a nonexistent problem. https://t.co/GXKBfB5yl3 via @WSJ— Steve Bainbridge (@PrawfBainbridge) December 16, 2022 "An SEC Inspector General report recently warned that @GaryGensler's move-fast-and-break-things agenda is overwhelming staff and diverting resources from investor protection. [read post]
2 Oct 2008, 1:41 pm
Securities and Exchange Commission's proxy proposal rule allows shareholders to recommend amendments to a company's articles of incorporation. [read post]
8 Feb 2023, 7:49 am
Securities and Exchange Commission (SEC). [read post]
17 Jun 2014, 9:26 am
The Securities and Exchange Commission announced its first settlement of a Whistleblower Retaliation case under the new anti-retaliation authority granted by the 2010 financial overhaul law. [read post]
27 Jan 2023, 11:38 am
The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody The Securities and Exchange Commission (SEC) is reportedly examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets, according to an article by Reuters. [read post]
