Search for: "In Re Securities and Exchange Commission"
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25 Jul 2016, 8:20 am
Choose the right advisers: You’re going to be spending a lot of time, and likely dealing with some difficult issues, with your counsel and other advisers as you prepare your Securities and Exchange Commission filings. [read post]
15 Jul 2016, 6:38 am
A jury convicted him of using his office to secure consulting contracts and investments from lobbyists or those who employ them. [read post]
14 Jul 2016, 9:30 pm
House of Representatives, which passed the North American Energy Security Infrastructure Act of 2015 in December 2015, in order to reconcile the two bills. [read post]
12 Jul 2016, 5:00 am
The Commission’s guidance is that the Commission will be guided—but not controlled—by judicial precedent applying comparable language under the SEC rules.Commodities insider trading. [read post]
8 Jul 2016, 12:40 pm
Privacy Shield framework cleared a final hurdle today, passing the European Commission. [read post]
6 Jul 2016, 10:01 am
Nevertheless, this is one area in which the Securities and Exchange Commission does hold sway. [read post]
6 Jul 2016, 9:49 am
The findings stated that as a result of his conduct, DiVenuto violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and FINRA Rule 2020. [read post]
6 Jul 2016, 5:59 am
[New York Law Journal via ABA Journal] * Thanks to a string of victories in fending off complaints about its controversial practices, it's highly unlikely that the Securities and Exchange Commission will stop using its system of in-house administrative law judges any time soon. [read post]
5 Jul 2016, 12:45 pm
Like the Stutzman bill, the measure contains provisions that would repeal authority to restrict forced arbitration, not just the CFPB’s, but also the Securities and Exchange Commission’s.This string of anti-consumer legislation is a reaction to the CFPB’s new proposed rule to end class action bans in forced arbitration clauses and restore our right to band together in court to seek redress. [read post]
1 Jul 2016, 6:11 am
Securities & Exchange Commission, on Tuesday, June 28, 2016 Tags: Accounting, Accounting standards, Board composition, Boards of Directors, Disclosure, Diversity, Engagement,Environmental disclosure, ESG, Financial reporting, Investor protection, SEC, Securities regulation, Sustainability,Transparency Does the Market Value CEO Styles? [read post]
30 Jun 2016, 10:16 am
The Securities and Exchange Commission (“SEC”) has created a new private fund unit and publicly asserted that it is more closely examining the operations of private equity funds and their portfolio companies. [read post]
27 Jun 2016, 2:44 pm
The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural gas or minerals. [read post]
20 Jun 2016, 2:32 pm
This is the second civil suit filed against the company within the last six months—it was sued by the Securities and Exchange Commission in December 2015 over similar accusations of fraud. [read post]
20 Jun 2016, 5:00 am
Marital Property Division If you’re going through a divorce, you’ll want to do everything you can to protect yourself financially. [read post]
17 Jun 2016, 5:28 am
Dannel Malloy’s 2014 re-election campaign. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
14 Jun 2016, 6:26 am
With the voice of experience, the FCC’s sister Commission provides support, criticism. [read post]
13 Jun 2016, 5:00 am
High Net-Worth Divorce is a unique divorce scenario that involves parties who, according to the Securities and Exchange Commission are situations “in which a natural person who has individual net worth, or joint worth with the person’s spouse, that exceeds $1 million dollars at the time of purchase, excluding the value of the primary residence of such person; or a natural person with an income exceeding $200,000 in each of the two most recent years or joint… [read post]
6 Jun 2016, 9:30 pm
Securities and Exchange Commission (SEC) and the European Union have now announced rules that discourage the use of conflict minerals in manufacturing. [read post]
2 Jun 2016, 9:30 pm
Securities and Exchange Commission’s (SEC) administrative law judges by Lynn Tilton, an investment adviser who the SEC has charged with fraud, the U.S. [read post]
