Search for: "In Re Securities and Exchange Commission"
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29 Aug 2022, 8:43 am
Notably, Securities and Exchange Commission (“SEC”) regulations required him to certify his reports were independently produced and accurately reflected his views. [read post]
5 Apr 2018, 9:30 pm
Securities and Exchange Commission (SEC) halted a fraudulent initial coin offering scheme. [read post]
18 Apr 2014, 3:24 pm
On April 14 2010 he was arrested by officials of Immigration and Customs Enforcement of the United States Department of Homeland Security ("ICE") and charged him with violating sections 212(a)(2)(A)(i)(I): commission of a crime of moral turpitude and 212(a)(2)(A)(i)(II): commission of a crime relating to a controlled substance, of the Immigration and Nationality Act ("INA"). [read post]
24 Jan 2012, 5:00 am
According to BNA, the Vice Chancellor, speaking on a panel at the AALS conference in Washington earlier this morning, "urged corporate America to take advantage of the Securities and Exchange Commission's new shareholder proposal approach to proxy access, or prepare for the return of a federal mandatory access rule. [read post]
23 Jul 2012, 12:14 am
” The article noted that “some banks don’t want to report high rates they’re paying for short term loans because they don’t want to tip off the market that they’re desperate for cash. [read post]
27 Jan 2010, 3:52 am
Some of those public statements have been critical of the Securities and Exchange Commission and other regulatory agencies. [read post]
3 Feb 2016, 7:27 am
As a result of his conduct, King willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and violated NASD Rule 2120 and FINRA Rule 2020. [read post]
22 Jan 2018, 4:18 pm
”[11] Analysis The Goldman Sachs case—along with Barclays and In re Petrobras Securities[12]—is one of three recent 23(f) petitions granted and decided by the Second Circuit concerning the fraud-on-the-market presumption of reliance. [read post]
5 Apr 2024, 1:06 pm
The Washington Post detailed how financial watch dog FINRA, the Security and Exchange Commission, Department of Homeland Security, FBI and Miami Policy cooperated in a cross-border investigation leading to charges by the SEC. [read post]
9 Jan 2013, 6:36 pm
Recent headlines and developments on global financial technology make this re-examination imperative. [read post]
1 Sep 2010, 12:25 pm
The company filed it with the Securities and Exchange Commission on Tuesday afternoon, several hours after filing its 10-K. [read post]
14 Feb 2012, 4:58 am
It is time once again for the Securities and Exchange Commission to sing for its supper. [read post]
6 Jan 2016, 9:05 am
Securities and Exchange Commission (SEC), Chapter 11 allows a business to reorganize and engage in the efforts necessary to become profitable. [read post]
26 Jan 2017, 3:00 am
Here’s an excerpt highlighting some of the ongoing cross-border cooperation initiatives between the UK’s Serious Fraud Office (SFO) & US authorities: The SFO and US regulatory authorities, including the US Department of Justice and the US Securities and Exchange Commission, have also stated that they are committed to cooperating on cross-border investigations. [read post]
5 Jun 2009, 12:14 pm
He was also convicted of obstructing justice for concealing documents that the Securities and Exchange Commission and federal prosecutors sought in an investigation. [read post]
4 Apr 2011, 1:15 pm
Form 10-K Annual Report For the Fiscal Year Ended December 31, 2010, which was filed with the Securities and Exchange Commission on February 28, 2011: As of December 31, 2010, approximately 1,295 cases, which include approximately 1,675 plaintiff groups, had been filed and were pending against [Merck & Co., Inc.] in either federal or state court.... [read post]
25 Oct 2011, 12:00 pm
SEC Tells Public Companies: Disclose Your Cyber RisksOn October 13 the Securities and Exchange Commission's Division of Corporate Finance directed public companies to disclose cybersecurity risks and incidents to investors. [read post]
24 Aug 2012, 6:52 am
Money Market Fund Reforms Hit Roadblock by Joe Mont in Compliance Week‘s The Filing Cabinet Overruled by three of her commissioners, Securities and Exchange Commission Chair Mary Schapiro has been rebuffed in her two-and-half-year effort to reform money market funds. [read post]
14 Jan 2013, 6:43 am
They gave the Securities and Exchange Commission 270 days to come out with the regulations. [read post]
12 Jan 2018, 11:50 am
Magistrate Judge in the Southern District of Florida held that providing “oral downloads” of otherwise-privileged witness interview notes and memoranda to the Securities and Exchange Commission effectively waived privilege. [read post]
