Search for: "SEC v. Provident Securities, Inc."
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7 Apr 2015, 2:13 pm
The SEC charged Houston-based global technology and engineering firm KBR Inc. with violating whistleblower protection Rule 21F-17 enacted under the Dodd-Frank Act. [read post]
29 Aug 2016, 4:00 am
Public Citizen, Inc. has filed an amicus brief in support of the U.S. [read post]
22 Dec 2011, 8:58 am
In most cases, an appeal is not filed until there is a final judgment in the case, and there is no such final judgment here – Judge Rakoff has consolidated the case with a related matter brought by the Commission, SEC v. [read post]
22 Jul 2022, 5:07 am
Bush on July 30, 2002 signed the Sarbanes-Oxley Act into law after the accounting scandals at Enron and WorldCom Inc. shook markets and U.S. financial regulators. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
30 Jun 2011, 12:51 pm
Securities and Exchange Commission (SEC) reporting requirements, was not a sufficient foundation for a securities fraud action. [read post]
24 Mar 2024, 9:01 pm
To that end, the SEC has updated, from time to time, the disclosure requirements underlying the basic bargain and, when necessary, provided guidance with respect to our disclosure requirements. [read post]
23 Apr 2013, 6:28 am
Action Notice Date Claim Due Date 2013-39 SEC v. [read post]
5 Jan 2023, 3:30 am
After all, the 2nd Cir. famously compared these interactions to “a fencing match conducted on a tightrope” in SEC v. [read post]
14 Nov 2009, 5:00 am
Normal 0 false false false EN-US X-NONE X-NONE In SEC v. [read post]
22 Apr 2015, 2:13 pm
Supreme Court’s 2014 ruling in Lawson v. [read post]
19 Aug 2021, 9:35 am
Nasdaq Inc. [read post]
18 Oct 2017, 12:00 am
Employees’ PS Retirement Plan, and the Wedbush Securities Inc. [read post]
5 Oct 2022, 6:30 am
On March 21, 2022, the SEC issued for public comment a new climate-related rule proposal [1] that, if adopted, would require registrants to provide certain climate-related information in their registration statements and annual reports filed with the SEC. [read post]
26 Jun 2014, 2:47 pm
The first is whether the Supreme Court should overrule or modify its decision in Basic Inc. v. [read post]
20 Sep 2011, 4:14 pm
The Second Circuit recently issued a decision in MBIA Inc. v. [read post]
14 May 2014, 7:02 am
See Matrixx Initiatives, Inc. v. [read post]
25 Jan 2011, 6:10 pm
Securities America Inc. [read post]
26 May 2022, 2:16 pm
See Upsolve Inc. v. [read post]
10 Aug 2022, 5:49 am
FTC and SEC v. [read post]
