Search for: "In Re Securities and Exchange Commission"
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27 Jul 2016, 4:00 am
The security video shows the entire fight commencing with a blindsided attack on Mr. [read post]
18 Jun 2010, 9:10 am
Id.Parties in interest may object to confirmation, including creditors whose claims are affected by the plan, an organization of employees of the debtor, and other tax payers, as well as the Securities and Exchange Commission. 11 U.S.C. [read post]
18 Sep 2008, 4:25 pm
Look, a few years ago, a Republican appointee to the Securities Exchange Commission, Bill Donaldson, ordered hedge funds to simply register with the SEC. [read post]
16 Jun 2023, 7:41 am
The New Law Protects Whistleblowers And Aids The Treasury The AML was modeled after the Dodd-Frank law that created the highly successful whistleblowing program at the Securities and Exchange Commission (SEC). [read post]
4 Oct 2019, 3:53 am
Overseas markets don’t keep American hours, and as long as you set up all those illegal trades before the sun comes up the Securities and Exchange Commission will never come knocking. [read post]
2 Dec 2010, 10:59 am
Essentially, the Act requires corporations to fully report their finances to the Securities and Exchange Commission. [read post]
29 Aug 2012, 4:05 pm
Melvin, Jr. was sued by the Securities and Exchange Commission for alleged Insider Trading. [read post]
13 Nov 2009, 4:00 am
Securities and Exchange Commission, which have opened their own probes, according to an investor letter obtained by Reuters. [read post]
7 Mar 2024, 5:28 am
Securities and Exchange Commission v. [read post]
30 Jul 2024, 9:05 pm
ENDNOTES [1] Securities and Exchange Commission (SEC) (2000) Final Rule: Selective Disclosure and Insider Trading. https://www.sec.gov/rules/final/33-7881.htm [2] For example, see the following two studies: Campbell J.L., Twedt B.J., Whipple B.C. (2021). [read post]
27 Sep 2019, 4:49 pm
In the United States, Facebook has been hit by a $5 billion fine from the Federal Trade Commission and a $100 million fine from the Securities and Exchanges Commission over Cambridge Analytica data abuses. [read post]
31 Mar 2021, 3:02 am
Concurring in part and dissenting in part in that case, Justice Breyer again remarked that this affects “the regulation of securities sales” because, “the regulatory spheres in which the Securities and Exchange Commission … operate[s]” is “defined by content. [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
4 May 2021, 1:08 pm
Securities and Exchange Commission (the “SEC”) . [read post]
27 Feb 2012, 9:00 pm
Smith & Nephew paid a monetary penalty of $16.8MM to the DOJ and $5.4MM to the Securities and Exchange Commission (SEC) as a civil penalty, all for a total of $22.2MM in fines and penalties. [read post]
8 May 2012, 6:42 am
Securities and Exchange Commission to appoint a receiver (the “US Receiver”) over the assets of SIB, Allen Stanford and other individuals who were allegedly running the scheme. [read post]
1 Apr 2021, 11:30 am
A congressionally-commissioned study by the Government Accountability Office (GAO) published in February 2019 essentially supported that view. [read post]
23 Aug 2011, 3:13 pm
Michael served a 22-month prison term and paid $600 million in fines and restitution.As part of a settlement in a related civil matter, the Securities and Exchange Commission permanently barred the two brothers from the securities industry. [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
