Search for: "In Re Securities and Exchange Commission"
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15 Jul 2015, 8:00 pm
The design must be agreed on by the Joint Commission, and the IAEA will monitor construction. [read post]
15 Jul 2015, 10:20 am
Further, the issuer should check and re-check public databases for any triggering events. [read post]
8 Jul 2015, 11:26 am
Recently, a Dallas investment scheme orchestrated by Brian Polito and his company EOG Resources got snagged by the federal authorities, with the Securities and Exchange Commission (”SEC”) filing suit here in a Texas federal district court alleging Polito had conned millions of dollars from his investors through the sale of interests in Texas oil and gas wells and oil futures. [read post]
5 Jul 2015, 3:28 pm
Under the proposed rules, the national securities exchanges are required to develop listing standards requiring companies to develop and implement policies to “claw back” incentive-based compensation that “later is shown to have been awarded in error. [read post]
26 Jun 2015, 12:00 pm
Securities and Exchange Commission 14-471Issue: Whether a defendant in a Securities and Exchange Commission civil enforcement action can be ordered to disgorge profits that he or she never received, possessed, or controlled, but that instead accrued directly to innocent third parties. [read post]
26 Jun 2015, 8:44 am
Securities and Exchange Commission accused Cuban of insider trading when he sold his stock in Mamma.com after learning that the company would soon be privately offering shares. [read post]
25 Jun 2015, 4:02 pm
Another piece of police intelligence that can also be revealed for the first time is a request for security made dated 29th April 1999 by Marunchak on behalf of Mahmood, who was due to appear in court as the prosecution witness in actor John Alford’s cocaine &ld [read post]
21 Jun 2015, 6:00 am
Securities and Exchange Commission. [read post]
19 Jun 2015, 7:46 am
Securities and Exchange Commission (the “June 19th Form 8-K”). [read post]
18 Jun 2015, 9:30 pm
Securities and Exchange Commission (SEC) proposed a rule introducing new requirements for Form ADV, the registration form used by investment advisers, including that advisers submit information about separately managed accounts, and their social media use. [read post]
17 Jun 2015, 6:37 am
When a fraud is uncovered, the Securities and Exchange Commission no only wants to get the fraudsters, it also wants to get those who should have stopped the fraud. [read post]
21 May 2015, 5:00 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) might not watch over the galaxy, but both agencies carefully monitor and scrutinize the conduct of CCOs and in-house counsel. [read post]
18 May 2015, 3:52 am
If you start an FCPA investigation, your ultimate audience may well be the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
18 May 2015, 3:52 am
If you start an FCPA investigation, your ultimate audience may well be the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
18 May 2015, 3:52 am
If you start an FCPA investigation, your ultimate audience may well be the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
13 May 2015, 3:30 am
Securities and Exchange Commission; Sheila Bair, past chair of the U.S. [read post]
1 May 2015, 5:55 am
Securities and Exchange Commission (SEC) (though there are reporting and other requirements). [read post]
1 May 2015, 3:00 am
” Here’s the abstract: An emerging literature shows that shareholders benefit from the Securities and Exchange Commission’s (SEC) filing review process in terms of improved disclosures and reduced information asymmetry. [read post]
30 Apr 2015, 1:02 pm
I hope to receive a meaningful amount of high level papers.Best regards, Droits de l’homme 2.0 : quelle protection à l’ère numérique ? [read post]
30 Apr 2015, 10:08 am
National Security Agency spy on the French presidential palace, foreign ministry officials, and members of the European Commission, according to a source from inside the BND. [read post]
