Search for: "In Re Securities and Exchange Commission"
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16 Feb 2022, 6:57 am
The merger “satisfied the closing condition” as part of an antitrust review by the Department of Justice, Discovery said in a regulatory filing with the Securities and Exchange Commission. [read post]
5 May 2010, 2:21 pm
The proposed Stop Trading on Congressional Knowledge Act addresses that problem by instructing the Securities and Exchange Commission to adopt rules intended to prohibit such trading. [read post]
11 May 2023, 1:59 pm
” Over the past decade, while the FCA has failed to inspire confidence in whistleblowers, the United States’ Securities and Exchange Commission (SEC) has become hugely successful. [read post]
19 Mar 2018, 4:00 am
Securities and Exchange Commission (“SEC”) announced a new self-reporting initiative that seeks to protect clients of investment advisors from undisclosed conflicts of interest when purchasing mutual funds. [read post]
30 Oct 2009, 6:57 am
Robert Levenson, regional trial counsel for the Securities and Exchange Commission, argued against any fee enhancement, saying it would reduce payments to bilked investors and award lawyers a windfall equivalent to more than $800 per hour. [read post]
28 Mar 2011, 1:57 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: Beginning in May 2007, a number of complaints were filed in various jurisdictions asserting claims against the Company’s subsidiaries Organon USA, Inc., Organon Pharmaceuticals USA, Inc., Organon International (collectively, “Organon”), and Schering-Plough arising from Organon’s marketing and sale of… [read post]
24 Apr 2007, 7:01 am
She is among the first Chief Financial Officers in the country to file financial statements with the Securities and Exchange Commission using XBRL. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
6 Sep 2017, 3:00 am
A Bloomberg BNA analysis found 436 companies cited “cybersecurity” as a risk factor in their Securities and Exchange Commission periodic filings in the first six months of 2017, compared to 403 companies in 2016 and 305 companies in 2015. [read post]
23 Jun 2010, 8:30 am
Prior to Johns Hopkins, Harley consulted for the Nuffield Trust on health and security issues, was a program associate with the California Endowment, and worked as an interviewer and analyst on the Baltimore City needle exchange vans. [read post]
17 Apr 2023, 5:33 am
The allegations indicated that defendants voluntarily yielded to Usana’s desires and complied with its directives in order to secure Usana’s financial backing. [read post]
24 Apr 2012, 3:21 pm
Rather, I will focus on one of the changes to Section 12(g) of the Securities Exchange Act of 1934 in the context of teaching the law of business associations and U.S. securities law. [read post]
5 Oct 2017, 5:20 pm
See In re The First Marblehead Corp. [read post]
4 Dec 2010, 7:31 am
Murphy, SecretarySecurities and Exchange Commission100 F Street NEWashington, D.C. 20549-1090 Re: Accredited Investor Standard, Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, File No. [read post]
23 Oct 2022, 7:03 pm
Securities and Exchange Commission, 34 F.4th 446 (2022), the Fifth Circuit held that Congress unconstitutionally delegated legislative power to the SEC, another multimember agency. [read post]
22 Sep 2022, 3:25 am
A new Equal Employment Opportunity Commission (“EEOC”) lawsuit that refusing to hire an applicant for testing positive for legally prescribed medications could violate the Americans With Disabilities Act (“ADA”) under certain circumstances. [read post]
23 Dec 2019, 5:32 am
The measure calls on the Securities and Exchange Commission (SEC) to issue rules requiring public companies to disclose in annual reports or proxy statements whether board members have cybersecurity “expertise. [read post]
5 Jun 2017, 1:40 pm
Securities and Exchange Commission, about disgorgement in an SEC enforcement action. [read post]
2 Jun 2010, 7:23 pm
These are people who agree to use their personal account to receive funds and wire them out of the country in exchange for a commission. [read post]
25 Aug 2017, 8:51 am
” On March 10, 2016, the Securities and Exchange Commission took action against Aequitas, alleging they had defrauded more than 1,500 investors. [read post]
