Search for: "In Re Securities and Exchange Commission"
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10 May 2013, 6:52 am
Securities and Exchange Commission. [read post]
7 May 2013, 1:17 pm
It’s one bullet point buried deep in the Ontario budget but it could have big implications for the class action bar.On page 290 of last week’s budget, under a section regarding consultations with the Ontario Securities Commission, it’s noted the government “plans to propose further changes to update the Securities Act. [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]
1 May 2013, 9:55 am
In a recent Securities & Exchange Commission (“SEC”) investigation, the SEC interviewed three persons who had proffer agreements with the SEC and United States Attorney. [read post]
30 Apr 2013, 9:30 am
Here are some tidbits from their story: The vulnerability, in part, stems from the Securities and Exchange Commission’s decision this month to let companies and executives use social media sites like Twitter and Facebook to broadcast market-moving news. [read post]
25 Apr 2013, 1:24 pm
., the auditor’s obligation under Section 10A of the Securities Exchange Act of 1934 to report a client’s illegal acts. [read post]
18 Apr 2013, 2:10 pm
Even the normally slow-to-act Securities and Exchange Commission (SEC) now recognises social media services (including Twitter) as an 'approved' method of disclosing certain types of corporate information in an era of constantly-changing pervasive communication methods. [read post]
17 Apr 2013, 3:38 am
Here’s David’s take: Early Due Diligence and Security for Payment—They’re Just as Crucial for Chinese Trying to Do Business in the West Okay, it’s in vogue in the Western media to warn readers to be suspect of Chinese pirates, hackers, thieves and other ne’er-do-wells, as if they (and their government) have a virtual monopoly on such practices. [read post]
11 Apr 2013, 5:00 am
The Securities and Exchange Commission adopted new rules requiring investment advisers, broker-dealers, mutual funds, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft. [read post]
11 Apr 2013, 5:00 am
The Securities and Exchange Commission adopted new rules requiring investment advisers, broker-dealers, mutual funds, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft. [read post]
8 Apr 2013, 9:06 am
A second and related announcement came on Tuesday from the Securities & Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
3 Apr 2013, 12:47 pm
In re Al Rizek, Securities Exchange Act Release No. 41725, In re Joseph J. [read post]
2 Apr 2013, 10:12 am
The current standard requires that Minnesota’s utilities secure 25% of their power from renewable sources by 2025 (30% for Xcel Energy in exchange for nuclear waste storage at Prairie Island). [read post]
28 Mar 2013, 1:00 pm
We’re better than that. [read post]
7 Mar 2013, 9:45 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
27 Feb 2013, 10:16 pm
GSI, one of the grand daddies of the securities research business, started in the pre online world of the early 80's.The technology involved a telephone, a photocopier and a chair in reading room at the Securities and Exchange Commission Office in downtown DC. [read post]
18 Feb 2013, 2:56 pm
The FCC isn’t special and it doesn’t deserve a special Sunshine Act exemption any more than, say, the Securities and Exchange Commission does. [read post]
15 Feb 2013, 7:11 am
., are calling for the Securities and Exchange Commission (SEC) to move the process of regulating so-called “crowdfunding” Web sites closer to its front burner.When President Obama signed into law the Jump Start Our Business Startups (JOBS) legislation in April, 2012, he and Congress took official notice of the existence for the preceding few years of a fund-raising technique for small and startup businesses called “crowdfunding. [read post]
