Search for: "In Re Securities and Exchange Commission"
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5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
4 Apr 2023, 6:19 pm
Securities and Exchange Commission (“SEC”) released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (the “Proposed Amendments”), while simultaneously issuing two additional cybersecurity-related rule proposals and re-opening the comment period for its previously proposed cybersecurity risk management rule released in February 2022. [read post]
15 Jan 2013, 5:30 am
Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty claims by the SEC and other federal agencies. [read post]
9 Sep 2024, 8:59 am
Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. [read post]
4 Dec 2008, 10:00 pm
In an 8-K report filed with the Securities and Exchange Commission, STEC disclosed:On December 4, 2008, STEC, Inc. [read post]
18 Jan 2023, 8:12 am
The Securities and Exchange Commission (SEC) Commission issued a new bulletin educating investors about performance claims. [read post]
11 Oct 2021, 1:18 pm
That’s why Securities and Exchange Commission (SEC) sees retaliation—being punished for having made a report of wrongdoing—as a primary threat to its whistleblowing initiative: If people believe they will be punished for reporting companies’ malfeasance to the SEC, then they’re less likely to come forward. [read post]
6 Aug 2007, 6:11 am
Securities and Exchange Commission filing by the company. ... [read post]
20 Jul 2023, 1:23 pm
According to a recently-released meeting agenda, the Securities and Exchange Commission’s (“SEC”) upcoming July 26, 2023 meeting will include consideration of adopting rules to enhance disclosures regarding cybersecurity risk management, governance, and incidents by publicly traded companies. [read post]
21 Aug 2017, 12:39 pm
In In re Stifel, Nicolaus & Co., Inc., Investment Advisors Act Release No. 4665 (admin proc Mar. 13, 2017), the Securities and Exchange Commission (“SEC”) filed an order instituting cease-and-desist proceedings against Stifel, Nicolaus & Co., Inc. [read post]
21 Jun 2018, 12:32 pm
Securities and Exchange Commission, which questioned the constitutionality of the SEC’s ALJs. [read post]
6 Mar 2014, 10:54 am
As noted in Staff Advisory 14-21, its provisions reflect similar guidance from the Federal Financial Institutions Examination Council and the Federal Trade Commission and draft guidance from the Securities and Exchange Commission. [read post]
1 Jul 2006, 8:00 pm
Call it what you will.More than 13,000 companies are listed on U.S. stock exchanges. [read post]
17 Jul 2023, 5:49 am
This challenge just got messier with the recent decision in the case of the Securities and Exchange Commission v Ripple Labs. [read post]
28 Jul 2022, 9:08 pm
Last week, the SEC posted this order instituting proceedings on a proposed NYSE rule change to modify pricing limitations for securities listed on the Exchange via a primary direct listing. [read post]
14 Jun 2023, 8:40 am
In our last post, we reviewed the basics of special purpose acquisition companies (SPACs), also called “blank check companies,” to understand why the Securities and Exchange Commission is so concerned about SPACs. [read post]
10 Aug 2009, 7:02 am
The United States Securities and Exchange Commission (the "SEC") recently sued Maynard Jenkins, former chief executive officer of CSK Auto Corporation ("CSK"), to reimburse CSK and its stockholders for more than $4 million worth of bonuses and stock sales while CSK was allegedly committing accounting fraud. [read post]
28 Apr 2021, 1:01 pm
The bank then faced fraud charges by the Securities and Exchange Commission (SEC), which resulted in the bank paying $550 million to settle the charges, although Goldman refused to either admit or deny the charges. [read post]
19 Jun 2012, 2:00 am
In this recent post, I discussed a petition submitted by Professor Lucian Bebchuk and nine other academics asking that the Securities and Exchange Commission adopt rules requiring public companies to disclose to shareholders the use of corporate resources for political activities. [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
