Search for: "In Re Securities and Exchange Commission"
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20 Jun 2018, 9:30 pm
Securities and Exchange Commission—the agency charged with regulating financial services—to modify the criteria for independent review and make exceptions for certain firms. [read post]
4 Mar 2020, 7:37 am
It pays to know the buyers in the area and what types of assets they’re looking for. [read post]
8 Jul 2020, 3:00 am
As a result of the continuation of the coronavirus (“COVID-19”) pandemic, on July 2, 2020, the Securities and Exchange Commission approved an extension of the NYSE’s waiver of these shareholder approval rules in the circumstances discussed below through September 30, 2020. [read post]
29 Sep 2010, 11:00 pm
Also, good to see the Halsbury’s Law Exchange are now blogging regularly! [read post]
19 Apr 2010, 6:33 am
Other US legal luminaries who have been on the show include former Securities and Exchange Commission chairman Harvey Pitt and Harvard Law School professor David Wilkins, who turned up to discuss the future of the legal profession. [read post]
2 Jan 2024, 11:26 am
Working under the supervision of the Securities Exchange Commission, FINRA: Writes and enforces rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
9 Jun 2023, 5:01 am
Every year, the Securities and Exchange Commission (SEC) pursues numerous insider trading actions that result in disgorgement. [read post]
16 Jun 2019, 7:35 am
Securities and Exchange Commission (SEC) or the PBOC to audit Chinese companies on Chinese soil is an offense against Chinese government sovereignty. [read post]
19 Mar 2007, 8:44 am
The risks and uncertainties that may affect forward-looking statements include, among others, the failure to develop new products, risks involved in fluctuations in currency exchange rates, delays in purchasing decisions of customers, the completion and integration of acquisitions, the possibility of technical, logistical or planning issues in connection with deployments, the continuous commitment of the Company's customers, demand for the Company's products and other risks… [read post]
14 Sep 2020, 8:44 am
He denied receiving any benefit in exchange for his testimony. [read post]
13 Apr 2020, 1:34 pm
If we’re lucky enough to hire you, you’ll be a part of the Center’s four-person leadership team, where you’ll help shape the Center’s overall programming and strategy. [read post]
24 Jun 2024, 9:01 pm
The Division staff selectively reviews filings made under the Securities Act, the Exchange Act, or pursuant to Regulation A to monitor and enhance compliance with the applicable disclosure and accounting requirements. [read post]
10 Dec 2021, 7:30 pm
Because the data we’re seeing is largely pointing in the wrong direction. [read post]
2 Jul 2024, 5:51 am
On February 1, for example, a multi-story apartment building housing Médecins Sans Frontières (MSF) staff and their families was hit by Israeli tank fire without warning, killing two people and injuring seven others. [read post]
24 Aug 2011, 2:00 am
Both SIPC and the Securities and Exchange Commission (“SEC”) supported the Trustee’s position in the bankruptcy court and in the Second Circuit. [read post]
7 Jan 2010, 11:00 am
In addition, the Governor proposed a bold initiative to revive the New York Insurance Exchange that would bring buyers and sellers of complex commercial insurance closer together, providing increased transparency and security for everyone in the process. [read post]
1 Dec 2021, 11:53 am
” Reports also emerged on Nov. 26 that the Cyberspace Administration of China, China’s central internet regulator, asked top executives at the ride-hailing giant Didi Chuxing to propose a plan for delisting the company from the New York Stock Exchange over data security concerns. [read post]
10 Jun 2022, 7:22 am
“It’s a simple customer experience, you tap your card on the phone and you’re set. [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]
24 Aug 2010, 11:12 am
Securities and Exchange Commission. [read post]
