Search for: "In Re Securities and Exchange Commission"
Results 1721 - 1740
of 2,834
Sort by Relevance
|
Sort by Date
20 May 2014, 7:08 am
Credit Suisse has already paid $196 million to the Securities and Exchange Commission (SEC) for violating the federal securities laws. [read post]
16 May 2014, 5:08 pm
On the other hand investment advisors are regulated by the Securities and Exchange Commission as provided under the Investment Advisors Act of 1940 (IAA). [read post]
14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
13 May 2014, 12:12 pm
Securities and Exchange Commission (SEC) has been considering how the use of the social media by public companies fits within the existing regulatory framework. [read post]
6 May 2014, 4:26 pm
The cyber threat is much broader than customer data privacy as addressed by the Securities and Exchange Commission’s Regulations S-P (regarding privacy of consumer financial information) and S-ID (regarding identity theft). [read post]
4 May 2014, 7:31 pm
The Securities and Exchange Commission, the civil agency in charge of protecting investors and ensuring orderly markets, has been advocating for a special exception to the warrant requirement. [read post]
29 Apr 2014, 7:01 am
Strangely, the pushback is not coming from law enforcement this time, but rather from civil agencies such as the Securities and Exchange Commission (SEC) and the Internal Revenue Service (IRS), who would like to use the bill to enhance their own authority. [read post]
24 Apr 2014, 9:48 am
The Commission took into account K's cooperation when agreeing to the settlement. [read post]
18 Apr 2014, 3:24 pm
On April 14 2010 he was arrested by officials of Immigration and Customs Enforcement of the United States Department of Homeland Security ("ICE") and charged him with violating sections 212(a)(2)(A)(i)(I): commission of a crime of moral turpitude and 212(a)(2)(A)(i)(II): commission of a crime relating to a controlled substance, of the Immigration and Nationality Act ("INA"). [read post]
18 Apr 2014, 2:27 am
Securities and Exchange Commission, one of the options for the SEC in light of the court's adverse First Amendment ruling is to seek en banc review of the decision of the three-judge panel. [read post]
8 Apr 2014, 7:21 am
Even requests to public DNS servers that were used to circumvent the blocks were re-routed. [read post]
28 Mar 2014, 3:20 pm
The Federal Trade Commission (“FTC”) has settled with two mobile application developers, Fandango and Credit Karma, over charges that they misrepresented the security of their mobile applications. [read post]
25 Mar 2014, 8:03 pm
Some investors and taxpayers took matters into their own hands – among them, the Winklevoss twins (yes, the ones from Facebook) who made up their own rules when they filed with the Securities and Exchange Commission for their Winklevoss Bitcoin Trust. [read post]
25 Mar 2014, 8:51 am
And then, you stumble across a seemingly mundane press release from the Securities and Exchange Commission and it just strikes you as hilarious but for the fact that there’s not much humor in the release.Consider these opening line from an SEC press release (’34 Act Release No. 71814, March 27, 2014):The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section… [read post]
17 Mar 2014, 6:59 am
The authority to grant such waivers has been delegated by the Commission to the Director of CorpFin. [read post]
17 Mar 2014, 6:30 am
Warren may have been naïve, but he thought he was being questioned as part of a civil Securities and Exchange Commission investigation. [read post]
16 Mar 2014, 4:41 am
Warren may have been naïve, but he thought he was being questioned as part of a civil Securities and Exchange Commission investigation. [read post]
14 Mar 2014, 5:00 am
The Securities and Exchange Commission should create a list of standard risk factors and issuers should be required to incorporate by reference all applicable risk factors into their filings. [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]
5 Mar 2014, 9:13 am
(ii) Debt versus equity – This is the re-delegation that failed. [read post]
