Search for: "In Re Securities and Exchange Commission"
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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]
7 Dec 2017, 9:30 pm
Securities and Exchange Commission’s (SEC) Cyber Unit, which the SEC established in September, brought its first enforcement action as a Unit against Dominic Lacroix and his company, PlexCorps, for fraud associated with an Initial Coin Offering that raised up to $15 million. [read post]
2 Jun 2022, 9:09 pm
Securities and Exchange Commission rule mandating chief financial officer (CFO) compensation disclosures. [read post]
25 Jan 2018, 9:30 pm
Securities and Exchange Commission (SEC) announced that it had charged six accountants—including former employees of the Public Company Accounting Oversight Board (PCAOB)—over a scheme to “misappropriate and use confidential information” that PCAOB was planning to audit accounting firm KPMG. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
20 Jun 2013, 12:16 pm
We’re in a brief recess. [read post]
17 Jun 2016, 5:28 am
Dannel Malloy’s 2014 re-election campaign. [read post]
1 Jul 2009, 7:49 am
"Funds with the same target date in their names can be structured, and thus perform, very differently," says Mary Shapiro, Chairperson of the Securities and Exchange Commission. [read post]
8 Jun 2011, 11:25 am
Now the nation knows that his "other way" involved being paid a huge salary to undermine and destroy the agencies targeted in a Chamber of Commerce memo: "the Environmental Protection Agency, the Occupational Safety and Health Administration, the Securities and Exchange Commission and the newly created Consumer Financial Protection Bureau. [read post]
9 Jun 2021, 8:28 am
It ought not to escape attention that the Senate passage of the bull tool place the day after the CECC issued a public statement condemning Apple's operations in China as in contravention of the moral position and the political principles of the United States (Public Pressure on Private Conduct in Defense of Liberal Democratic Values: Congressional-Executive Commission on China Chairs Issue Statement about Forced Labor in Apple’s Supply Chain in Xinjiang). [read post]
15 Nov 2023, 5:57 am
” The re-distribution of enslaved Black African migrants, or militia-held “bush wives” are acts of the slave trade, among others. [read post]
1 Mar 2023, 12:27 pm
They file a disclosure document with usually the SEC Securities Exchange Commission or FINRA, FINRA doesn’t, you know, give a rubber stamp to the product or stamp of approval? [read post]
20 Apr 2020, 12:29 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]
21 Jun 2024, 6:57 am
” “Napoli Shkolnik PLLC is pooling its portion of approximately $1.3 billion in settlements with major opioid manufacturers and pharmacies, including McKesson, Janssen, CVS and Walgreens, according to a Securities and Exchange Commission filing. [read post]
20 May 2016, 6:00 am
[More…] SEC $3.5 Million Mystery Whistleblower Reward by Matt Kelly in Radical Compliance We received another glimpse into the Securities and Exchange Commission’s thinking about whistleblowers on Friday—although as usual with SEC, details are sketchy and the primary thought is “we support whistleblowers as expansively as possible. [read post]
19 Nov 2021, 4:02 pm
The US Securities and Exchange Commission has established a task force to target misleading ESG claims and has indicated that it is working to establish a comprehensive ESG disclosure framework. [read post]
2 Nov 2010, 11:55 am
Department of the Treasury; • the Federal Deposit Insurance Corporation; • the Federal Housing Finance Agency; • all of the Federal Reserve banks; • the Board of Governors of the Federal Reserve System; • the National Credit Union Administration; • the Office of the Comptroller of the Currency; • the Securities and Exchange Commission; and • the Bureau of Consumer Financial Protection established by the legislation. [read post]
30 Jan 2019, 8:00 am
The problem for retail investors is that leveraged loans are very risky credits and are unregulated by the Securities and Exchange Commission. [read post]
10 Oct 2008, 1:49 pm
After seven years at the Securities and Exchange Commission, I should have known better. [read post]
19 Sep 2010, 8:02 pm
Department of the Treasury; the Federal Deposit Insurance Corporation; the Federal Housing Finance Agency; all of the Federal Reserve banks; the Board of Governors of the Federal Reserve System; the National Credit Union Administration; the Office of the Comptroller of the Currency; the Securities and Exchange Commission; and the Bureau of Consumer Financial Protection established by the legislation. [read post]
