Search for: "In Re Securities and Exchange Commission"
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8 Feb 2018, 9:30 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
10 Jul 2019, 10:42 am
The user doesn’t control the wallet’s security; the Calibra service does. [read post]
Customs and Border Protection Officer's Haboring Conviction Reversed While Bribery Conviction Upheld
9 Jun 2008, 3:41 pm
Disappear, don't tell anyone what address you're staying at. [read post]
5 Feb 2009, 7:45 am
On February 2, 2009 the Securities and Exchange Commission published the text of its new rules for credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
6 Aug 2019, 11:00 pm
They express themes of gratitude in poetry and using gratitude journals that they might exchange with friends. [read post]
18 Oct 2018, 9:30 pm
Securities and Exchange Commission (SEC) concluded that two national stock exchanges—the New York Stock Exchange and NASDAQ—failed to demonstrate that the fees they charged for access to market data complied with the Securities Exchange Act of 1934. [read post]
6 Dec 2021, 10:37 am
And many commission agreements provide that you’re only entitled to the commission if you’re still employed when the commission is generated, even if you have already completed all your work on the deal. #5. [read post]
25 Mar 2011, 8:00 am
Ferrer commended the investigative efforts of the FBI and the cooperative efforts of the Miami Regional Office and the Washington DC Office of the Securities and Exchange Commission. [read post]
21 Dec 2010, 3:53 pm
See In re AIG, Exchange Act Release No. 48477 (admin. proc. [read post]
18 Jan 2023, 9:05 am
As the Securities and Exchange Commission recently explained in an investor bulletin, hedge funds pool investors’ contributions into a single fund and then find investments to best maximize their collective asset. [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]
18 Apr 2018, 12:19 pm
Kohn, Executive Director of the National Whistleblower Center, stated that “Congress needs to ensure that the Securities and Exchange Commission (SEC) does its job. [read post]
30 Sep 2010, 6:45 am
Court of Appeals, Second CircuitBusiness Law Judge Exceeded Authority in Ordering Wiretaps Turned Over to SEC in Galleon Case Securities and Exchange Commission v. [read post]
21 Dec 2010, 3:53 pm
See In re AIG, Exchange Act Release No. 48477 (admin. proc. [read post]
15 Mar 2010, 3:06 am
Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. [read post]
19 Mar 2009, 9:59 pm
In November 2006, the Committee on Capital Markets Regulation issued a report arguing for cutting back on regulation of financial markets, for limitations on private lawsuits and on lawsuits by state attorneys general, and for increased restrictions on the ability of the Securities and Exchange Commission to issue new rules. [read post]
23 Nov 2011, 7:26 am
Public companies are required to make copious disclosures to the Securities and Exchange Commission, including audited financials that are reviewed by the S.E.C. [read post]
8 Aug 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Vanderbilt Law Review, Laura E. [read post]
