Search for: "In Re Securities and Exchange Commission"
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19 Mar 2010, 8:00 am
For more on the entire system of beneficial ownership and the role of the depositories, see The Shareholder Communication Rules and the Securities and Exchange Commission: An Exercise in Regulatory Utility or Futility? [read post]
27 Jul 2017, 3:00 am
Here’s an excerpt from the WSJ article: American Airlines Group removed certain “descriptive language” from its financials at the behest of the Securities and Exchange Commission, according to recently released correspondence. [read post]
6 Sep 2018, 11:40 am
A couple weeks later, on July 6, Tripp retained legal counsel and filed a formal whistleblower tip with the United States Securities and Exchange Commission. [read post]
12 Mar 2024, 8:02 am
Reddit plans to list 22 million shares at a price between $31 and $34, according to the latest version of the IPO prospectus it filed Monday with the Securities and Exchange Commission. [read post]
4 Jun 2013, 5:00 am
The Securities and Exchange Commission even published A Plain English Handbook: How to Create Clear SEC Disclosure Documents. [read post]
22 Nov 2017, 4:04 pm
However, the Securities and Exchange Commission’s website offers a glimpse into standard contract language, through posted agreements between companies and executives. [read post]
10 Mar 2017, 4:25 am
Heller, would credit stock exchanges for any fees they may have overpaid the Securities and Exchange Commission. [read post]
20 Nov 2010, 3:53 am
They’re not bad guys. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
11 Aug 2023, 12:49 pm
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
15 Aug 2014, 11:21 am
John Kirby announced, “We’re very committed to that region. [read post]
27 Aug 2020, 12:23 pm
During the re-investigation, Dr. [read post]
25 Jul 2019, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data. [read post]
31 Oct 2019, 3:59 am
Switzerland retaliated in July 2019 by banning the trading of Swiss equities on EU exchanges. [read post]
30 Aug 2024, 7:49 am
Federal Trade Commission v. [read post]
15 Aug 2019, 11:24 pm
IN RE GREER-ALLEN, Bankr. [read post]
19 Sep 2024, 9:05 pm
Securities and Exchange Commission (SEC) adopted amended rules allowing exchanges to quote stocks at half-penny increments, lowering the previous one-penny minimum for certain stocks. [read post]
15 Jun 2010, 5:58 pm
Pittman, re-published on Ethics.org, explained how Sarbanes-Oxley broadly expanded the scope of unacceptable corporate behavior under securities laws: Of the five elements of the Commission's code, the only one that is specific to public companies relates to accuracy and timeliness of disclosure in public filings and other public communications. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
14 Nov 2017, 2:27 am
Over the last four months the Law Commission of England and Wales has been consulting on the topic of Making a Will, focusing on testamentary capacity and formalities. [read post]
