Search for: "In Re Securities and Exchange Commission"
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28 Apr 2021, 1:01 pm
The bank then faced fraud charges by the Securities and Exchange Commission (SEC), which resulted in the bank paying $550 million to settle the charges, although Goldman refused to either admit or deny the charges. [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
3 Feb 2011, 3:06 pm
ACCOUNTABILITY, LIKE TAXES, IS FOR THE LITTLE PEOPLE: SEC CAN’T PASS AUDIT: If a company’s financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
9 Aug 2010, 11:49 am
But the Securities and Exchange Commission is expecting a big increase in tips from senior employees and third parties because of whistleblowing incentives in the new law that can reach seven-figures, as reported by CNBC in an August 9, 2010 article entitled “Wall Street Rewards to Trigger a Surge in Informants. [read post]
21 Mar 2007, 2:51 am
., --- F.3d ----, 2007 WL 816518 (Mar. 19, 2007):Section 10(b) [of the Securities Exchange Act] does not give rise to aiding and abetting liability. [read post]
15 Mar 2018, 7:16 am
The National Securities Markets Improvement Act of 1996 re-allocated and clarified the division of duties between federal and state securities regulators, including by defining the term “covered securities. [read post]
5 Oct 2011, 1:45 pm
It's been more than 14 months since the signing of the Dodd-Frank Act, which directed the Securities and Exchange Commission to establish a new Investor Advisory Committee.So far, the SEC has not publicly announced a timetable for creating this panel, and Commissioner Luis Aguilar and some investors are asking why. [read post]
28 Feb 2018, 10:00 am
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
23 May 2022, 8:42 am
The Securities and Exchange Commission (SEC) understands that some whistleblowers may have participated in the wrongdoing at issue. [read post]
18 May 2022, 2:12 pm
If you’re aware of a SPAC that is defrauding investors, you may be wondering if you should go to the Securities and Exchange Commission (SEC) and become a whistleblower. [read post]
25 Jun 2007, 8:18 am
All five commissioners of the Securities and Exchange Commission will appear at a committee hearing in the House of Representatives. [read post]
8 Nov 2011, 3:07 pm
In any event, here is the full exchange: GRAHAM: Thank you Mr. [read post]
25 Jan 2021, 10:59 am
The Commission and EU Member States will promote the exchange of health data through improved interoperability between relevant IT systems and infrastructure and ensuring that health data is “FAIR”—findable, accessible, interoperable and reusable. [read post]
11 Jun 2008, 4:33 am
The Securities and Exchange Commission's no-action letters do not preclude them from re-examining Overstock.com's financial disclosures and taking possible future action against the company and him despite the SEC's recent actions. [read post]
1 May 2009, 12:49 pm
Securities and Exchange Commission. [read post]
5 May 2010, 1:19 pm
On April 21, 2010, the Securities and Exchange Commission filed an action in the U.S. [read post]
20 Dec 2011, 10:25 am
Securities and Exchange Commission. [read post]
21 Oct 2022, 7:52 am
So why then do the Securities Exchange Commission (SEC) and other agencies keep warning consumers about Bitcoin-related frauds? [read post]
2 Sep 2022, 7:59 am
As reported in the Wall Street Journal, employees of tech companies in Silicon Valley and elsewhere are increasingly coming forward to the Securities and Exchange Commission (SEC). [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
