Search for: "In Re Securities and Exchange Commission"
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14 Mar 2016, 9:39 am
” We’re a little sympathetic: the world would be a better place if we could all get public records on demand with a simple phone call. [read post]
10 Mar 2016, 10:13 am
The Securities and Exchange Commission today announced that Anthony S. [read post]
8 Mar 2016, 12:32 pm
The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. [read post]
7 Mar 2016, 4:09 pm
He also says; “…as long as both sides are unhappy, it’s an indication … that we’re doing our job. [read post]
1 Mar 2016, 10:06 am
The SEC’s order finds that Qualcomm violated the anti-bribery, internal controls, and books-and-records provisions of the Securities Exchange Act of 1934. [read post]
26 Feb 2016, 11:24 am
” This flurry of diplomatic exchanges set the stage for PRC Foreign Minister Wang Yi’s previously schedule visit to Washington. [read post]
25 Feb 2016, 10:00 pm
Securities and Exchange Commission (SEC) and other parties had expressed about what they felt was a hastily-crafted rule that would “harm low- and middle-income Americans by increasing the cost of investment advice,” as well as “investors and the U.S. capital markets. [read post]
22 Feb 2016, 4:36 pm
The registration process requires that the information provided is accurate; however, the Securities and Exchange Commission (SEC, which was created under the 1934 Act) does not guarantee its accuracy. [read post]
11 Feb 2016, 8:19 am
” Moreover, he argued, the legislative histories of the Securities Act, the Exchange Act, and the Administrative Procedure Act all show that Congress intended SEC ALJs to be inferior officers in the constitutional sense. [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
4 Feb 2016, 6:04 am
Securities Litigation, a putative securities fraud class action lawsuit, brought under Section 10(b) of the Securities Exchange Act of 1934. [read post]
3 Feb 2016, 7:27 am
As a result of his conduct, King willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and violated NASD Rule 2120 and FINRA Rule 2020. [read post]
3 Feb 2016, 4:00 am
The Justice Department is probably in the best position to commission and coordinate this data call. [read post]
25 Jan 2016, 6:30 am
It is not uncommon for a BDC to be sold with a commission of 10% or more. [read post]
22 Jan 2016, 1:18 pm
The Journal calls the exchange of funds yet another “flashpoint” in the two rival countries’ relationship, amid a claim by Tehran that the money transfer was a ransom payment. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
20 Jan 2016, 12:28 pm
Burris responded to his termination of employment by taking his evidence against his former employer, including the recordings he had made of his colleagues, to the Securities and Exchange Commission. [read post]
18 Jan 2016, 3:18 pm
However, regulators outside of healthcare –such as the Department of Homeland Security, the Securities and Exchange Commission and the Federal Communications Commission — also try to extend their foothold into the healthcare compliance realm, much in a way that the Federal Trade Commission has. [read post]
18 Jan 2016, 2:05 pm
Financial advisors and brokers typically receive high commissions and fees associated with MLPs, financial advisors and brokers recommending these products stand to gain by maximizing sales of MLPs and other high commission paying products. [read post]
