Search for: "In Re Securities and Exchange Commission"
Results 1381 - 1400
of 2,834
Sort by Relevance
|
Sort by Date
9 May 2017, 11:41 am
Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. [read post]
5 May 2017, 6:00 am
[More…] SEC Probes Solar Companies Over Disclosure of Customer Cancellations by Kirsten Grind The Securities and Exchange Commission is examining whether San Francisco-based Sunrun Inc. [read post]
4 May 2017, 9:30 pm
Securities and Exchange Commission by a vote of 61-37. [read post]
2 May 2017, 9:48 am
The findings stated that Althar engaged in high-volume trading to generate commissions and over- concentrated the customer’s accounts in risky securities, despite the fact that the customer was close to retirement and only wanted low-risk investments. [read post]
30 Apr 2017, 7:00 am
Brooks is an ambivalent liberal interventionist who cut her teeth as a consultant for Human Rights Watch in battlefields including Kosovo and Uganda in the mid-1990s before becoming a professor of national security law and working at the Pentagon. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order to qualify… [read post]
27 Apr 2017, 10:13 am
The Federal Reserve and the International Organization of the Securities Commission have provided some flexibility for swap dealers facing a March 1, 2017, deadline to implement certain variation margin compliance requirements for uncleared swaps. [read post]
26 Apr 2017, 12:54 pm
The Securities and Exchange Commission (SEC) also anticipates big budget cuts under Trump’s administration. [read post]
26 Apr 2017, 3:15 am
That question is generating a lot of discussion early in the Trump administration as U.S. policy makers consider ways to streamline the federal bureaucracy by potentially merging the Commodity Futures Trading Commission into the Securities and Exchange Commission. [read post]
19 Apr 2017, 9:09 am
Court of Appeals for the 11th Circuit subsequently broke from the herd in Securities and Exchange Commission v. [read post]
14 Apr 2017, 1:51 am
Securities and Exchange Commission, the justices will consider whether this statute of limitations applies to disgorgements, a frequent remedy in SEC actions. [read post]
13 Apr 2017, 9:30 pm
Securities and Exchange Commission (SEC) announced fraud charges against 27 individuals and entities, including three public companies, seven stock promotion firms, and two corporate CEOs, alleging that they engaged in stock promotion schemes that disguised promotional materials as unbiased analyses intended to mislead potential investors. [read post]
11 Apr 2017, 5:59 am
Martin Shkreli's former lawyer, Evan Greebel -- who also happens to be his co-defendant -- has turned on him, accusing the pharma bro of submitting false documents to the Securities and Exchange Commission and engaging in illegal stock trading. [read post]
7 Apr 2017, 5:51 am
Securities and Exchange Commission and is back at Debevoise & Plimpton, her husband -- who was the firm's lone nonequity partner for four years -- will return to the firm's equity partnership, where he can enjoy all of the rain he makes. [read post]
3 Apr 2017, 3:14 pm
After a few exchanges and a long pause, Dykstra offers a solution: The government can get the defense everything up to April 24th, and then work with the defense to allow them to see the records before they are reviewed. [read post]
31 Mar 2017, 6:33 am
Bruce Rauner’s record-setting $50 million donation to his own re-election bid last year. [read post]
29 Mar 2017, 5:09 am
Under the 1975 Securities Acts Amendments, large money-management institutions were required to report their portfolio holdings on a quarterly basis to the Securities and Exchange Commission. [read post]
27 Mar 2017, 3:09 pm
In its October 2014 decision in In re NVIDIA Corp. [read post]
24 Mar 2017, 10:16 am
This verdict from New Mexico, affirmed on appeal by the 10th Circuit, awarded the Securities and Exchange Commission (“SEC”) a disgorgement award of $34.9 million, plus $18.1 million in prejudgment interest, and a penalty of $2.4 million for Charles R. [read post]
20 Mar 2017, 6:55 am
Himes runs through the purpose of FARA as described by the National Security Division at DOJ. [read post]
