Search for: "In Re Securities and Exchange Commission"
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10 Dec 2013, 6:34 am
TweetLast week, on Wednesday, the Securities and Exchange Commission’s Division of Corporation Finance issued 14 new Compliance and Disclosure Interpretations (C&DIs) related to the private offering exemption afforded by Regulation D, Rule 506, this time addressing subsection (d) of the rule (concerning bad actor disqualification). [read post]
4 Dec 2013, 9:07 am
Registered investment advisers (“RIAs”), or managers filing as exempt reporting advisers (“ERAs”), with the SEC or a state securities authority must file an annual amendment to Form ADV within 90 days of the end of their fiscal year. [read post]
3 Dec 2013, 9:00 pm
Obviously the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) recognize the importance of an internal company reporting system, such as a hotline. [read post]
2 Dec 2013, 6:46 am
Securities and Exchange Commission. [read post]
19 Nov 2013, 2:20 pm
We’re here today to discuss a critical topic at a critical time, and I’d like to thank everyone at NYU Law and the Center on Law and Security, especially Sam Rascoff and Zach Goldman, for inviting me to be part of this conference. [read post]
19 Nov 2013, 3:45 am
Strengthening exchanges and communication between academies of governance. [read post]
15 Nov 2013, 4:51 am
The Securities and Exchange Commission may approve of Apple’s overseas tax strategies but Italian taxing authorities aren’t so sure. [read post]
6 Nov 2013, 9:54 pm
The Securities and Exchange Commission’s (SEC) recently proposed rules on crowdfunding are sure to draw crowds. [read post]
4 Nov 2013, 9:46 am
And there are legitimate parallels between the vehicle safety crisis of the 1960s and today’s software security conundrum. [read post]
29 Oct 2013, 11:00 am
The SEC alleged that Cuban engaged in insider trading, in violation of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and SEC Rule 10b-5, by selling his shares of Mamma.com, after learning that the company was to engage in a PIPE offering, in advance of the public announcement—allegedly avoiding losses of $750,000. [read post]
29 Oct 2013, 8:07 am
However, a study of 75 Securities and Exchange Commission (SEC) cases resulting in $4.8 billion in civil fines from 2002 through 2005 revealed that the SEC distributed only about 1% of the proceeds, or $60 million, in only three of those cases to investors. [read post]
28 Oct 2013, 12:20 pm
Gould On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. [read post]
25 Oct 2013, 6:34 am
White softens stance on minor securities violations by Mark Schoeff Jr. in Investment News Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. [read post]
21 Oct 2013, 10:30 am
Kohn (In re Herald, Primeo & Thema Sec. [read post]
18 Oct 2013, 2:44 am
Recently, the Securities and Exchange Commission's Office of Investor Education and Advocacy ("OIEA") has issued a number of commendable investor warnings that unlike many prior efforts now seem to have far more meat on their bones. [read post]
9 Oct 2013, 6:00 am
Last week, Twitter filed its Form S-1 — the public prospectus required ahead of an initial public offering — with the Securities and Exchange Commission. [read post]
1 Oct 2013, 9:06 pm
The Securities and Exchange Commission hasn’t reached NAFI status yet, Greve writes, but not for want of trying. [read post]
1 Oct 2013, 5:44 am
In response to the perceived threat presented by selective disclosure of material nonpublic information, by issuers, the Securities and Exchange Commission (SEC) adopted Regulation Fair Disclosure (“Regulation FD”) in 2000. [read post]
30 Sep 2013, 2:14 pm
You’re also probably a tool. [read post]
25 Sep 2013, 12:41 pm
According to data released by the Securities & Exchange Commission, 114 insurance executives received compensation of $5 million or more in 2012, with 40 receiving $10 million or above. [read post]
