Search for: "In Re Securities and Exchange Commission"
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7 Nov 2016, 2:59 am
Case In Point In an Order Instituting Administrative and Cease-and-Desist Proceedings (the "OIP"), the Securities and Exchange Commission's ("SEC's") Division of Enforcement ("Enforcement") alleged that Respondent Christopher M. [read post]
6 Nov 2016, 4:14 pm
Exchange Wire looks at some of the biggest stories in the European digital advertising space, including the case of EU data protection vs Facebook-WhatsApp. [read post]
3 Nov 2016, 9:30 pm
Securities and Exchange Commission (SEC) is investigating the bank—an investigation that comes in addition to ongoing investigations into the bank by the U.S. [read post]
20 Oct 2016, 9:30 pm
Securities and Exchange Commission (SEC) reportedly approved a plan that will increase oversight of markets for debt securities issued by the U.S. [read post]
20 Oct 2016, 5:00 am
For one, the staff updated Question 271.04, which is one of the Securities Act rules C&DIs for general situations, to re-phrase the question and to expand upon the prior answer.That question involved a non-Exchange Act reporting company that issued options in reliance on Securities Act Rule 701 that is later acquired by an Exchange Act reporting company such that the private company’s options become exercisable for shares of the acquirer. [read post]
18 Oct 2016, 4:40 am
Según los datos financieros publicados por el gobierno, además de nuestra voluntad de reducir gastos, mejorar la captación de ingresos, y balancear el presupuesto, Puerto Rico tendrá que re-negociar con algunos acreedores para alcanzar un alivio a corto plazo del servicio de la deuda mientras estabiliza sus finanzas y logra sustentabilidad fiscal y económica. [read post]
16 Oct 2016, 8:41 pm
In fact, the White House has already issued a statement in response to Warren’s letter stating that “The President continues to believe Chair White is the right leader for the Securities and Exchange Commission. [read post]
8 Oct 2016, 9:26 am
The Congressional-Executive Commission on China was created by the U.S. [read post]
6 Oct 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
29 Sep 2016, 9:30 pm
” The Securities and Exchange Commission (SEC) unanimously voted to propose a rule that would shorten the settlement time for broker-dealer securities transactions from three days, referred to as T+3, to two days, or T+2. [read post]
29 Sep 2016, 5:08 pm
In reaching this conclusion, the Second Circuit examined the Black’s Law Dictionary definition of “affiliate” and rules promulgated by the Securities and Exchange Commission (“SEC”). [read post]
26 Sep 2016, 4:43 am
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
23 Sep 2016, 10:39 am
Securities & Exchange Commission Investment offers may promise to pay sky-high returns for what are at best extremely risky propositions — and at worst are pure frauds. [read post]
22 Sep 2016, 9:30 pm
” The Securities and Exchange Commission (SEC) announced an award of $11 million to an anonymous whistleblower who informed the Commission’s Office of the Whistleblower of fraud. [read post]
22 Sep 2016, 12:38 pm
Cold Calling – Know Your Rights – from the US Securities and Exchange Commission For many businesses, including securities firms, cold calling serves as a legitimate way to reach potential customers. [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
21 Sep 2016, 4:42 am
The GOP provision would prevent the Securities and Exchange Commission from working on a rule that would require publicly traded companies to disclose political contributions. [read post]
16 Sep 2016, 6:18 am
He agreed to the fine in exchange for no further action by the state Ethics Commission, but the head of the ethics panel said Capouillez still faced possible criminal charges. [read post]
16 Sep 2016, 6:00 am
by Keith Paul Bishop in California Corporate & Securities Law Earlier this week, the Securities and Exchange Commission announced that a self-styled “stock trading whiz kid” and his Los Angeles, California company have agreed to pay $1.5 million to settle a complaintfor violations of Rule 10b-5. [read post]
15 Sep 2016, 9:30 pm
WHAT WE’RE READING THIS WEEK The U.S. [read post]
