Search for: "In Re Securities and Exchange Commission"
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5 Mar 2020, 8:17 pm
And again, that “or” in “cryptography, data security, or AI” means that the Commission could end up including zero cryptography experts. [read post]
20 Apr 2022, 4:29 am
The poll by Demoskop and commissioned by the Aftonbladet newspaper showed 57% of Swedes now favoured NATO membership, up from 51% in March. [read post]
25 Aug 2021, 3:00 am
Of the remaining 23 proposals, three received at least 10% support from shareholders, six were excluded by the Securities and Exchange Commission (SEC), and seven reached the 3% threshold necessary for us to be able to provisionally file again in 2022. [read post]
15 Sep 2008, 5:48 pm
After spending over six years as an attorney at the Securities and Exchange Commission in the late '90s and a little beyond, I can tell you that no matter what kind of leash, and no matter how slack that leash was that regulators tried to put on the banking and investment world, lobbyists and corporations won out more often than not. [read post]
15 Feb 2011, 4:15 am
Securities and Exchange Commission, http://www.sec.gov/ Favorite Legal Software: Directors Desk, http://www.directorsdesk.com/ Do you use social media resources, such as LinkedIn, Facebook, Twitter or blogs, for career and/or case development? [read post]
8 Nov 2017, 8:34 am
These protections were eventually expanded in 2010, resulting in the Dodd-Frank Wall Street Reform and Consumer Protection Act, through which the Securities Exchange Commission (SEC) provides whistleblower rewards of 10- 30% for original information of violations that lead to monetary sanctions of over $ 1million. [read post]
21 Nov 2018, 2:26 am
Securities and Exchange Commission (SEC) and outlaw any agreement that restricts whistleblowing to law enforcement. [read post]
6 Dec 2009, 7:50 am
Broc Romanek provides coverage of corporate governance issues and the Securities and Exchange Commission. [read post]
4 Dec 2011, 5:45 am
Additional Resources If you’re looking for even more guidance on plain English and drafting risk factor disclosure you can find it in the plain English rule’s adopting release, the Commission’s ever useful Plain English Handbook and Updated Staff Legal Bulletin No. 7A. [read post]
8 Apr 2013, 9:06 am
A second and related announcement came on Tuesday from the Securities & Exchange Commission. [read post]
22 Nov 2008, 4:28 pm
The '33 Act and the Securities Exchange Act of 1934, which regulates securities exchanges and provides for periodic disclosure to investors, form an interlocking regulatory structure built on, "[…] a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, and so long as they hold… [read post]
28 Mar 2019, 10:25 pm
Securities and Exchange Commission rule may still be found liable for employing “any device, scheme, or artifice to defraud” or engaging in any practice that operates “as a fraud or deceit. [read post]
1 Mar 2017, 9:30 pm
Securities and Exchange Commission, and other agencies have long had to defend their regulations in cost-justified terms. [read post]
25 May 2010, 11:34 pm
Patrick Byrne intoxicated after drinking too much alcohol Amidst an ongoing Securities and Exchange Commission investigation into financial reporting violations by Overstock.com (NASDAQ: OSTK), CEO Patrick Byrne's 100% controlled High Plains Investments LLC dumped 140,000 company shares and collected over $3 million in proceeds during the last several days, according to SEC filings. [read post]
11 Nov 2021, 9:03 pm
Securities and Exchange Commission approved the Public Company Accounting Oversight Board’s Rule 6100. [read post]
29 Aug 2013, 4:26 am
Other national securities exchanges do not have a similar internal audit requirement, although Nasdaq had previously proposed adopting one. [read post]
29 Jun 2017, 9:30 pm
Securities and Exchange Commission (SEC), are entitled to anti-retaliation protections. [read post]
15 Feb 2013, 7:11 am
., are calling for the Securities and Exchange Commission (SEC) to move the process of regulating so-called “crowdfunding” Web sites closer to its front burner.When President Obama signed into law the Jump Start Our Business Startups (JOBS) legislation in April, 2012, he and Congress took official notice of the existence for the preceding few years of a fund-raising technique for small and startup businesses called “crowdfunding. [read post]
13 Feb 2012, 4:06 am
, FINRA, NYSE, Nasdaq, etc.), but can also be influenced by the Securities and Exchange Commission, which oversees the SROs and can require that they adopt rules related to discretionary voting, and by Congress through the legislative process. [read post]
9 Oct 2013, 6:00 am
Last week, Twitter filed its Form S-1 — the public prospectus required ahead of an initial public offering — with the Securities and Exchange Commission. [read post]
