Search for: "In Re Securities and Exchange Commission"
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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]
21 Dec 2011, 5:17 am
Securities and Exchange Commission said in a complaint filed on Tuesday in federal court in California that the company, known as Heart Tronics, installed both Gault and a former Hollywood executive named J. [read post]
5 Apr 2016, 12:31 pm
” Yesterday, the crisis unfolding in the Nagorno-Karabakh region in Azerbaijan deepened as Armenian fighters exchanged fire with troops from Azerbaijan. [read post]
11 Dec 2015, 1:21 pm
A few more brief exchanges and Ruiz too is done. [read post]
13 Aug 2008, 1:00 pm
It may also become the basis for regulatory agency actions such as securities market regulators and trade or consumer commissions like the Securities and Exchange Commission, the Federal Trade Commission, or state consumer protection agencies in the United States. [read post]
4 May 2021, 6:13 am
SECURITY AND TRUSTS/AGENCY Since the introduction of a legal regime creating a security agent in 2017, a security agent can be appointed for the purpose of taking, registering, managing and enforcing security it holds in its name for the benefit of the creditors. [read post]
12 May 2017, 6:15 am
There is nothing illegal about giving these donations to a politician, said Jessica Levinson, president of the Los Angeles Ethics Commission. [read post]
14 Mar 2010, 6:06 pm
A second point we would make: Once Congress decided that class action securities lawsuits were not the best way to enforce shareholders’ interests (not to mention honest business dealings), it became incumbent on the Securities and Exchange Commission to be ever-more vigilant against fraud. [read post]
5 Jan 2018, 5:35 am
Its March 4, 2016 Securities and Exchange Commission 8-K on Data Security Incident (Breach 8-K) states 21CO delayed notification at the request of the FBI to avoid interfering in the criminal investigation of the breach. [read post]
11 Nov 2024, 10:39 am
You can only exclude actively-earned income — like wages, salary, commission, and bonuses — under the FEIE. [read post]
17 Sep 2013, 1:54 pm
Nor do I see any basis for concluding that signing it provided him with any increased security of employment, either expressly or implicitly. [read post]
21 Oct 2021, 9:03 pm
Securities and Exchange Commission (SEC) could address the harm resulting from the lack of regulation in digital asset markets. [read post]
2 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed a rule to update its ethics compliance regulations for its own employees. [read post]
22 Jan 2008, 8:20 am
Beazer asked the Securities and Exchange Commission for permission to omit the proposal, but the company's "no action" petition was denied. [read post]
12 Aug 2019, 3:00 am
., a Texas-based real-estate firm, added references to active-shooter scenarios in the “risk factor” section of their latest annual reports, according to an analysis of Securities and Exchange Commission filings. [read post]
5 Jul 2018, 9:30 pm
Securities and Exchange Commission (SEC) brings more enforcement actions against non-U.S. companies. [read post]
15 Jul 2020, 4:25 am
As you endeavor to re-establish your routine in our ever-changing “new normal,” we would like to highlight some items we hope will help you stay on top of the business and regulatory landscape in the coming months. **** SEC Matters Compliance with Regulation Best Interest (Reg BI) was Required as of June 30, 2020. [read post]
21 Sep 2008, 5:59 pm
Toner, Chairman of the Federal Election Commission (FEC). [read post]
2 Sep 2021, 9:03 pm
Securities and Exchange Commission (SEC) issued a request for information and comments from the public concerning retail investment firms’ use of digital engagement practices—such as incorporating celebrations and gamifying trading by offering prizes to investors. [read post]
20 Apr 2007, 7:39 am
In January, UnitedHealth asked the Securities and Exchange Commission for permission to exclude the measure on the grounds that CalPERS hadn't met the legal requirements of Minnesota (where the health insurance firm is incorporated) to propose a bylaw change. [read post]
