Search for: "In Re Securities and Exchange Commission"
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16 Nov 2014, 9:05 pm
Bank of America, see last page] Two SEC commissioners warn that campaigned-for “fair fund” to compensate investors in CR Intrinsic inside trading case “likely to benefit only class-action attorneys and the fund’s administrators” [Daniel Gallagher and Michael Piwowar, WSJ] “U.S. veterans sue [major European] banks, claim they should pay for Iraq attacks” [Alison Frankel, Reuters] Tweet Tags: administrative law, banks, Securities and… [read post]
14 Nov 2014, 6:48 am
Securities and Exchange Commission and the investing public about Massey’s safety practices before the explosion. [read post]
14 Nov 2014, 5:42 am
Kalamazoo County Road Commission v. [read post]
7 Nov 2014, 8:55 am
The comment period on the re-proposed rule was reopened this summer and staff is reviewing comments. [read post]
5 Nov 2014, 7:17 am
They knew that “excessive” commissions were paid to banks in Latvia and Lithuania. [read post]
3 Nov 2014, 5:42 am
The Securities and Exchange Commission has been pointing out custody issues for investment advisers, made it an exam priority for 2014, highlighted in its presence exam initiative, and highlighted it in its never before examined initiative. [read post]
29 Oct 2014, 5:41 pm
If you’re not, we won’t hesitate to collect suspended monetary judgments. [read post]
26 Oct 2014, 8:23 pm
A primary purpose of the Organization is “to maintain international peace and security… and to bring about by peaceful means, and in conformity with the principles of justice and international law, adjustment or settlement of international disputes or situations which might lead to a breach of the peace. [read post]
24 Oct 2014, 10:17 am
The exchange also asserted that its 2010 re-proposed rule responded to the D.C. [read post]
20 Oct 2014, 11:49 am
According to the Securities and Exchange Commission (S.E.C.) that is exactly what allegedly happened to investors who trusted their money to MassMutual Financial Group, an insurance company based in Springfield, Massachusetts. [read post]
16 Oct 2014, 8:35 am
In 2010, the Securities and Exchange Commission (SEC) enacted a law which encourages people in the know to “blow the whistle” on people or companies who are stealing from or cheating the government. [read post]
16 Oct 2014, 7:57 am
United States, 14-29, involving a prosecution under §10(b) of the Securities Exchange Act, or the ’34 Act, as we old-timers call it (rescheduled for this Friday’s Conference); and Crews v. [read post]
16 Oct 2014, 5:00 am
Don’t make the mistake even worse by faking a document you submit to the Securities and Exchange Commission in order to cover your original mistake. [read post]
28 Sep 2014, 5:04 am
Securities and Exchange Commission. [read post]
23 Sep 2014, 4:53 am
In the past, folks have pretended to be from the Securities and Exchange Commission, the Federal Bureau of Investigation, the Internet Crime Complaint Center ("IC3"), and now we're hearing about the Internal Revenue Service. [read post]
15 Sep 2014, 12:07 pm
Failing to stay current with the Securities and Exchange Commission can jeopardize the legitimacy of the public company. [read post]
4 Sep 2014, 6:00 am
The Securities and Exchange Commission today charged two executives at a Dallas-based information technology company with mischaracterizing an arrangement with an equipment manufacturer to purport that it was conducting so-called “resale transactions” to inflate the company’s reported revenue.An SEC investigation found that the then-CEO and then-CFO caused the disclosure failures at Affiliated Computer Services (ACS), which has since been acquired by… [read post]
4 Sep 2014, 3:19 am
Just six days after our article, Luis Aguilar, a Commissioner of the United States Securities and Exchange Commission (SEC), stated very clearly in a speech entitled “Cyber Risks in the Boardroom,”[ii] that, [B]oards must take seriously their responsibility to ensure that management has implemented effective risk management protocols. [read post]
15 Aug 2014, 11:21 am
John Kirby announced, “We’re very committed to that region. [read post]
15 Aug 2014, 5:42 am
Federal: GOP Looks to Shake Loose More Wall Street Cash Politico – Patrick Temple-West | Published: 8/13/2014 The Securities and Exchange Commission rule limiting some campaign contributions from investment firms violates free speech, two state Republican parties said in a lawsuit seeking to overturn the regulation. [read post]
