Search for: "In Re Securities and Exchange Commission"
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30 Apr 2015, 5:48 am
A recent Securities and Exchange Commission ruling sheds some interesting light on how such problems are addressed.Case In PointIn The Matters Of Reliance Financial Advisors, LLC, Timothy S. [read post]
26 Apr 2015, 8:31 pm
As a small company contemplating a Rule 504 filing under Regulation D of Security and Exchange Commission, you need to be sure you understand the rules. [read post]
25 Apr 2015, 4:03 am
UK media coverage of EU issues is frequently superficial and plagued by basic errors. [read post]
20 Apr 2015, 5:06 am
” She proposes a number of efforts to increase enforcement, including critical remarks in the direction of the Securities and Exchange Commission, but the biggest idea here is a “two strikes and you’re out” policy for the Justice Department. [read post]
19 Apr 2015, 4:49 pm
Among other things, he said that “we are actively looking for examples in confidentiality agreements [and] employee agreements that … in substance say ‘as a prerequisite to get this benefit you agree you’re not going to come to the commission or you’re not going to report anything to a regulator. [read post]
17 Apr 2015, 8:00 am
It’s a good move—hey, we all enjoy a good movie and, no problem, we’re kind of flattered being the villains—now here’s something to show you what we’re really about. [read post]
15 Apr 2015, 5:17 am
Charles Ponzi The Securities and Exchange Commission brought charges against James Evans for engaging in a “Ponzi scheme. [read post]
13 Apr 2015, 6:51 am
On Wednesday, March 25, 2015, the Securities and Exchange Commission adopted final rules that will assist certain small businesses and startups in fundraising efforts by creating an updated exemption from registration for certain small issuers of securities. [read post]
10 Apr 2015, 7:33 am
“When you’re raising the money for yourself, it’s going into your own pocket – you’re more grateful to the donor,” said Robert Stern, the former top attorney at the Fair Political Practices Commission who helped write the Political Reform Act. [read post]
7 Apr 2015, 2:13 pm
This post considers recent action by the SEC.In August 2011 the SEC adopted rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection. [read post]
4 Apr 2015, 3:32 am
The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process.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]
2 Apr 2015, 7:32 am
Yesterday, the huge government contractor KBR agreed to pay $130,000 to settle with the Securities and Exchange Commission for using employment agreements to muzzle whistleblowers, specifically requiring “witnesses in certain internal investigations interviews to sign confidentiality statements that could have kept them from reporting possible securities-law violations to authorities. [read post]
1 Apr 2015, 1:43 pm
By Ada Dolph, Christopher Robertson, and Robert Milligan The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud complaints in-house. [read post]
30 Mar 2015, 5:38 am
The Securities and Exchange Commission agreed in a new “no-action” letter that the firm does not have to comply with independent verification and account statement delivery provisions of clauses (a)(2), (a)(3) and (a)(4) of the Custody Rule in connection with that fund. [read post]
19 Mar 2015, 12:39 pm
Even so, the exchange prompted Nancy A. [read post]
19 Feb 2015, 1:30 pm
As a result of the Snowden disclosures, the European Commission re-opened a review of the TFTP program. [read post]
13 Feb 2015, 5:00 am
” The Securities and Exchange Commission is struggling with that notion when it decides whether to grant a waiver to an automatic bar from certain securities trading. [read post]
11 Feb 2015, 5:00 am
The Securities and Exchange Commission published a trio of cases in involving Wyoming last week. [read post]
10 Feb 2015, 5:00 am
The Securities and Exchange Commission published a trio of cases in involving Wyoming last week. [read post]
8 Feb 2015, 1:00 pm
The bitcoins were "only then moved away in bulk, split up, and perhaps sent to Bitcoin exchanges or other cashout. [read post]
