Search for: "SEC"
Results 161 - 180
of 60,491
Sorted by Relevance
|
Sort by Date
21 Jul 2022, 6:00 am
Read: SEC Awards Whistleblowers More Than $6 Million SEC Issues More than $17 Million Award to a Whistleblower More SEC Whistleblower News on WNN The post SEC Whistleblower Program Dishes Out $23 Million in Awards appeared first on Whistleblower Network News. [read post]
25 Feb 2009, 1:56 am
SEC Responds to Dodd with Guidance on Say on Pay Provisions of Stimulus LegislationIn a letter to SEC Chair Mary Schapiro, Senate Banking Committee Chair Christopher Dodd explained the shareholder advisory vote provisions for TARP recipients in the American Recovery and Reinvestment Act of 2009. [read post]
18 Aug 2023, 12:08 pm
On May 5, 2023, the SEC announced that it had awarded nearly $279 million to […] The post SEC Issues Historic Awards to Whistleblowers appeared first on Katz Banks Kumin LLP. [read post]
23 Jun 2017, 8:33 am
Alpine Securities Corporation charged by SEC. [read post]
29 Sep 2021, 6:04 am
The SEC Aggressively Pursues COVID-19 Investment Fraud The SEC faces a range of new and challenging enforcement issues. [read post]
3 May 2024, 8:05 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
6 Jun 2024, 3:30 am
The funny thing is that if Future Me went back in time to meet with Teenage Me as I was about to embark on my pursuit of higher education, and Future Me told Teenage Me that I would spend almost of all of my professional career working at the SEC, interacting with the SEC and writing and speaking about the SEC’s every move as it relates to the regulation of public disclosure, my reaction would have likely been: “What is the SEC? [read post]
25 Sep 2020, 11:34 am
First, in August the SEC widened the definition of “accredited investor” to permit a broader range of investors to fall under the Regulation D exemption which permits companies to issue shares without registering them with the SEC. [read post]
22 Jul 2021, 9:38 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
25 Mar 2022, 12:34 pm
Read: SEC Awards $1.25 Million to Whistleblower More SEC Whistleblower News on WNN The post Whistleblower Receives $1.25 Million From SEC appeared first on Whistleblower Network News. [read post]
14 Apr 2023, 11:03 am
Further Reading: The SEC’s Award Order What is the SEC Whistleblower Program? [read post]
2 Sep 2021, 2:31 pm
We all also know that the SEC is deeply interested in protecting the investing public. [read post]
16 Jan 2024, 2:47 pm
In addition, even though the agreements permitted clients to respond to SEC inquiries, they did not permit clients to voluntarily contact the SEC. [read post]
21 May 2019, 5:59 am
In remarks made in December 2018, the Securities and Exchange Commission’s (SEC) Chief Accountant Wesley Bricker reaffirmed that auditor independence remains one of the SEC’s areas of focus. [read post]
20 Nov 2017, 6:24 am
David Kotz, then Inspector General (IG) of the SEC, released a report outlining the questionable trading activity of two lawyers employed by the SEC’s enforcement division. [read post]
31 Mar 2020, 5:51 am
The following is a summary of the SEC’s new filing requirements. [read post]
9 Mar 2009, 6:39 am
Then verify the caller's identity by calling the SEC's personnel locator at 202-551-6000 and asking to speak directly to that SEC staff member.If contacted by someone unfamiliar to you claiming to be an SEC employee, please report it to the SEC by calling 800-732-0330 or e-mailing: help@sec.gov. [read post]
10 Dec 2019, 11:11 am
A public hearing had been scheduled by the SEC in October to announce amendments to the... [read post]
27 May 2011, 8:00 am
The SEC should put explanations in its no-action letters. [read post]
4 Mar 2010, 11:35 am
According to the SEC, beginning in the... [read post]
