Search for: "In Re Securities and Exchange Commission"
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7 Jan 2022, 6:51 am
” Some point to the political calendar: With the 20th Party Congress scheduled for autumn 2022, these moves may be part of Xi’s efforts to consolidate his power ahead of his anticipated re-election. [read post]
28 Jun 2019, 3:00 am
Securities and Exchange Commission has brought enforcement actions charging insider trading in advance of earnings announcements by senior lawyers at Apple and SeaWorld. [read post]
4 Jul 2018, 12:05 pm
Securities and Exchange Commission may be whether and to what extent the SEC (and even perhaps other agencies) will continue to use administrative processes to pursue enforcement action. [read post]
24 Aug 2016, 4:26 pm
On 28 February 2013, Sino issued a prospectus for an Initial Public Offering (IPO) on the Australian Securities Exchange (ASX), inviting subscribers to apply for fully paid ordinary shares. [read post]
25 Jul 2011, 8:03 am
In the preliminary proxy FedEx delivered to the Securities and Exchange Commission on Friday afternoon, the company tells investors about corporate-jet rides, high-end security services, and a $2.4 million tab for that part-time workforce known as its board of directors. [read post]
5 May 2013, 9:01 pm
Federal Regulations On the federal level, regulation has largely come through actions initiated by the Federal Trade Commission (FTC), Securities and Exchange Commission (SEC) and U.S. [read post]
16 Sep 2018, 8:06 am
On the other hand, the hard places present their own challenges: (1) Russia re-emerging to embrace a role it had started placing well in the wake of the end of the Napoleonic Wars and takes up again, to replace the United States as the shadow under which Europe may be permitted to retain its wealth if not its power, and (2) China as a rising power, not yet militarily (though that is coming) but certainly in trade which poses the greatest threat to the core of the power of the… [read post]
30 Mar 2020, 12:12 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]
17 Dec 2018, 8:18 am
The Securities and Exchange Commission (SEC) is concerned that the offering and sale of virtual currency (or “tokens”) is a sale of a security under the Securities Act of 1933, and that such offerings should comply with offering regulations, including providing appropriate disclosure to investors in order to prevent fraud. [read post]
20 Jun 2013, 7:05 am
A weird little exchange then takes place: Ruiz asks whether the CIA was on the island during Woods’ tenure. [read post]
24 Jun 2012, 10:25 pm
Circuit vacated a Securities and Exchange Commission (SEC) enforcement order as another example of agency action without a reasoned explanation. [read post]
20 Jan 2012, 10:37 am
Attorney, Smith is now in private practice specializing in the defense of individuals in cases against the Department of Justice, the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
6 Nov 2008, 4:58 am
. _________________ November 5, 2008 Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: File No. [read post]
20 Jan 2012, 10:37 am
Attorney, Smith is now in private practice specializing in the defense of individuals in cases against the Department of Justice, the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
18 Oct 2022, 8:56 am
“The key is to avoid an employment case, and instead keep the source employed to continue to gather evidence, as seen in Commodities [Futures Trading Commission], Securities [and Exchange Commission], and Internal Revenue Service cases,” Kohn said. [read post]
13 Mar 2009, 6:48 pm
According to a Tuesday filing by PG&E with the Securities and Exchange Commission, Brown and PG&E "jointly requested" the dismissal from San Francisco Superior Court. [read post]
5 Oct 2017, 9:30 pm
Securities and Exchange Commission (SEC) charged two companies, REcoin Group Foundation and Diamond Reserve Club, with defrauding investors seeking to buy “digital tokens” through a pair of initial coin offerings. [read post]
2 May 2017, 9:48 am
The findings stated that Althar engaged in high-volume trading to generate commissions and over- concentrated the customer’s accounts in risky securities, despite the fact that the customer was close to retirement and only wanted low-risk investments. [read post]
13 Jun 2008, 3:36 pm
They call on Paulson and CFIUS to determine who TCI's investors are and whether they threaten national security or the "vital asset" that is CSX. [read post]
8 Nov 2019, 3:00 am
Securities and Exchange Commission, failing to include about US$2.46 billion in investments. [read post]
