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2 Feb 2021, 12:52 pm
Share Tweet ShareThe Securities and Exchange Commission today released a roster of the executive staff for Acting Chair Allison Herren Lee. [read post]
14 Dec 2007, 4:22 am
Investors should be informed if there are any other liquidity providers, and if so, how the company's obligation ranks with the other liquidity providers.Companies should consider disclosure of whether they purchased commercial paper or other securities issued by any off- balance sheet entities that they manage, and whether any agreement required them to make those purchases. [read post]
22 May 2024, 6:54 pm
The Social Security Administration (SSA)was at 52.1. [read post]
14 May 2014, 7:57 am
The staff took a similar approach in Securities Act Rules Compliance and Disclosure Interpretations Question 232.15, which provides an interpretation with respect to Rule 433 under the Securities Act. [read post]
11 Jan 2016, 4:51 pm
“The Securities and Exchange Commission issued its two annual staff reports [December 28, 2015] on credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). [read post]
20 Feb 2012, 8:41 am
At the federal level, the Court Security Improvement Act of 2007 expanded penalties for retaliating against a federal judge or clerk/staff by false claim or slander of title (18 USC 1521). [read post]
31 Jan 2007, 8:01 am
SEC Staff Clears Use of Market-Based Stock Option Valuation MethodThe SEC Chief Accountant will allow a company to use the future issuance of employee stock option appreciation rights securities (ESOARS) as a market-based approach for valuing employee share-based payment awards under FASB Statement No. 123R. [read post]
30 Oct 2015, 9:42 am
By John Filar AtwoodOn the eve of the SEC’s consideration of crowdfunding proposals, Commission staff members and industry experts took the opportunity to review the impact of Regulation A+ and other capital-raising initiatives at Practising Law Institute’s securities regulation conference. [read post]
18 Oct 2021, 1:35 pm
The Securities and Exchange Commission today published a Staff Report on Equity and Options Market Structure Conditions in Early 2021, which focuses on the January 2021 trading activity of GameStop Corp (GME), the most famous of the "meme…Read the Full Press ReleaseHave a securities law question? [read post]
28 Sep 2020, 1:09 pm
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
5 Oct 2020, 2:09 pm
The Securities and Exchange Commission today published a staff report titled U.S. [read post]
2 May 2023, 12:29 am
An overview of the Staff Notice is set out below. [read post]
15 Feb 2013, 11:00 am
In particular, the SEC Staff has suggested issuers are not responding to comments relating to cyber-security disclosures. [read post]
30 Dec 2014, 9:34 am
[December 23, 2014] “the Securities and Exchange Commission issued its annual staff report on the findings of examinations of credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs) and submitted a separate report on NRSROs to Congress. [read post]
7 Sep 2008, 11:06 am
He said he was "extremely concerned".Opposition politicians condemned the "serious breach in security".What is it with this government and its desire to collect data upon citizens which it then has a habit of losing? [read post]
15 Dec 2022, 8:33 am
Lucia's Day (December 13), the staff of the Securities and Exchange Commission published updates to its compliance and disclosure interpretations (CD&Is) with respect to non-GAAP financial measures. [read post]
30 Aug 2011, 1:23 am
“Private security firm G4S has sacked two members of staff who tagged a man’s false leg, allowing him to remove it and flout a court-imposed curfew.” Full story The Guardian, 29th August 2011 Source: www.guardian.co.uk [read post]
22 May 2015, 4:55 am
Now, SUEPO, the Staff Union of the EPO, has announced (see news item of 21 May) that it understands that Control Risks (who describe themselves as "an independent, global risk consultancy specialising in helping organisations manage political, integrity and security risks in complex and hostile environments") has been commissioned by the EPO to investigate staff members who are elected representatives of the Staff Committee and/or… [read post]
10 May 2010, 5:00 am
Staff (there are Unit Chiefs, Deputies, assistant directors and staff attorneys in each specialty unit) has been culled from all of the SEC’s offices, not just those in Washington. [read post]
25 Jan 2022, 5:44 am
The views expressed in the post are those of Chair Gensler, and do not necessarily reflect those of the Securities and Exchange Commission or the Staff. [read post]
