Search for: "In Re Securities and Exchange Commission"
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10 Jul 2013, 12:53 am
The senator lamented that the federal court ruling will delay implementation of vital transparency rules that would shine much needed light on information designed to protect investors and promote U.S.energy security. [read post]
8 Jul 2013, 8:39 am
District Court for the District of Columbia vacated a rule promulgated by the Securities and Exchange Commission (“SEC”) that would have required energy companies to publicly disclose payments to U.S. and foreign governments in connection with the commercial development of oil, natural gas, or minerals. [read post]
2 Jul 2013, 4:57 pm
Encore Financial, one of the largest credit card debt buyers, paid $562 million for $18.5 billion of debt last year, or three cents per dollar of face value, according to its Securities and Exchange Commission filings. [read post]
21 Jun 2013, 5:08 am
Securities and Exchange Commission’s (SEC’s) New York office broker-dealer examination staff. [read post]
20 Jun 2013, 12:16 pm
We’re in a brief recess. [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]
17 Jun 2013, 2:12 pm
A housekeeping matter here, a housekeeping matter there—and we’re in recess until tomorrow. [read post]
14 Jun 2013, 4:10 am
Senator Portman wanted Shelanski to commit to bringing independent agencies, such as the Securities and Exchange Commission and the Commodities Futures Trading Commission, under cost-benefit analysis mandates. [read post]
11 Jun 2013, 5:00 am
Advocates for reform finally got their long awaited breakthrough last Wednesday, June 5, 2013, when the Securities and Exchange Commission voted unanimously to propose legislation that would reform money market funds. [read post]
10 Jun 2013, 1:05 pm
”Section 604 of the Sarbanes-Oxley Act expanded the definition of statutory disqualification in Section 3(a)(9) of the Securities Exchange Act of 1934 by both creating and incorporating Exchange Act Section 15(b)(4)(H) so as to include persons subject to a Final Order of a state securities commission if the Order is based upon the violation of a statute or regulation that prohibits fraudulent, manipulative, and deceptive conduct. [read post]
7 Jun 2013, 5:43 am
Among them: The Securities and Exchange Commission should be beefed up, hedge funds need to be registered and brokerages should have independent custodians. [read post]
7 Jun 2013, 5:43 am
Among them: The Securities and Exchange Commission should be beefed up, hedge funds need to be registered and brokerages should have independent custodians. [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]
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]
2 Jun 2013, 5:30 am
http://t.co/EC4ZFymQDo -> IAB Australia releases Social Advertising Best Practice Guidelines http://t.co/onFKqZOfWA -> The Smartest Guys in the Room Figured it Out Again: Google’s Undesirability Index for Brand Sponsored Piracy http://t.co/UBby0gjhJd -> Creation of allegedly fake website leads to broad discovery of internet activity http://t.co/LOFDK8oNvP -> Did Boing Boing's Cory Doctorow Even Read the IP Commission Report? [read post]
29 May 2013, 11:15 am
On Wednesday, the Securities and Exchange Commission (SEC) settled with the NASDAQ stock exchange for a cool $10 million. [read post]
20 May 2013, 9:43 am
Readers may feel free to re-post this content elsewhere as well. [read post]
17 May 2013, 5:00 am
White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. [read post]
17 May 2013, 5:00 am
White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. [read post]
13 May 2013, 6:24 am
In July 2011, we co-chaired a committee of ten corporate and securities law experts that petitioned the Securities and Exchange Commission to develop rules requiring public companies to disclose their political spending. [read post]
