Search for: "Securities and Exchange Commission"
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12 Jun 2009, 11:06 am
Circuit issued an interesting opinion today in Securities Exchange Commission v. [read post]
2 Oct 2017, 7:31 am
A majority of the United States Court of Appeals for the District of Columbia Circuit in the main upheld findings by the SEC The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about... [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [read post]
8 Feb 2010, 1:04 pm
A federal judge put a Securities and Exchange Commission lawyer on the defensive on Monday afternoon over a settlement resolving civil charges that accused Bank of America of misleading investors when it acquired Merrill Lynch. [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 May 2007, 1:34 pm
The Securities and Exchange Commission has announced a list of panelists for the agency's May 24 and 25 roundtables on the proxy voting process. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
17 Dec 2010, 10:12 am
Securities and Exchange Commission announced today that Stephen Cohen has been appointed as an associate director of the Division of Enforcement. [read post]
25 Aug 2009, 2:47 am
The Securities and Exchange Commission and Bank of America on Monday defended the fairness of their proposed $33 million settlement over executive bonuses paid out by Merrill Lynch, and the bank maintained it didn't mislead investors in the affair. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
19 May 2011, 10:39 am
--Wilmer Cutler Pickering Hale and Dorr to become one of the Securities and Exchange Commission's five commissioners. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [read post]
24 Mar 2010, 10:25 am
Henning of White Collar Watch examines how the Securities and Exchange Commission provided another example of its mishandling of investigations in a case involving Allied Capital and the hedge fund manager David Einhorn. [read post]
20 Jan 2014, 7:00 am
This report is in response to section 108(a) of the JOBS Act, which provides that The Securities and Exchange Commission shall conduct a review... [read post]
15 Jul 2010, 4:12 pm
While Goldman Sachs's $550 million settlement with the Securities and Exchange Commission may seem impressive at first glance, it's a charge the firm can handle easily. [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [read post]
9 Jun 2014, 2:00 am
Last week, the Second Circuit Court of Appeals ruled that a district court's rejection of a proposed Securities and Exchange Commission (SEC) settlement for $285 million -- because of the absence of any admissions by defendant Citigroup -- was improper.... [read post]
11 Jun 2007, 3:14 pm
Here is the biographical information from Usana’s most recent 14A filed with the Securities and Exchange Commission on March 13, 207: (more…) [read post]
