Search for: "In Re Securities and Exchange Commission"
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16 Oct 2014, 8:35 am
In 2010, the Securities and Exchange Commission (SEC) enacted a law which encourages people in the know to “blow the whistle” on people or companies who are stealing from or cheating the government. [read post]
13 Dec 2019, 12:53 am
Bringing together female compliance professionals to provide practical learning skills in the compliance world as well as worthwhile opportunities for networking and mentoring. 25-26 March 2019 | London, UKDiscover more information The Securities and Exchange Commission wants bad guys to know: ‘We’re watching’ by Bob PisaniCNBC I spent a day at SEC headquarters with the regulators Chairman Jay Clayton and the co-directors of… [read post]
14 Jul 2017, 2:36 pm
Securities & Exchange Commission (“SEC”) concluded that, from 2002 through 2012, Qualcomm Inc. engaged in several instances of conduct that violated the FCPA. [read post]
3 Feb 2015, 3:58 am
Here’s the WSJ’s opening paragraph: The Securities and Exchange Commission would see its funding levels rise about $200 million to $1.7 billion under the White House’s 2016 budget blueprint, according to people familiar with the matter. [read post]
22 Sep 2011, 5:52 pm
Anyway, now Joel calls my attention to this: The Securities and Exchange Commission has charged Barr Rosenberg, a leading academic and quant fund manager, with fraud. [read post]
29 Nov 2011, 7:57 am
And under our operating principle that there are very few accidents in Securities and Exchange Commission filings, we called our subscribers’ attention to them. [read post]
4 May 2017, 9:30 pm
Securities and Exchange Commission by a vote of 61-37. [read post]
14 Jul 2017, 2:36 pm
Securities & Exchange Commission (“SEC”) concluded that, from 2002 through 2012, Qualcomm Inc. engaged in several instances of conduct that violated the FCPA. [read post]
2 Nov 2019, 10:49 am
According to the Wall Street Journal: [Cloudflare’s IPO disclosure form, its SEC Form S-1], filed with the Securities and Exchange Commission last month, was amended last week. [read post]
10 Feb 2014, 5:00 am
In looking through the defense motions, the lawyers did not challenge the jurisdiction of the Securities and Exchange Commission. [read post]
20 Oct 2014, 11:49 am
According to the Securities and Exchange Commission (S.E.C.) that is exactly what allegedly happened to investors who trusted their money to MassMutual Financial Group, an insurance company based in Springfield, Massachusetts. [read post]
3 Jun 2021, 9:03 pm
Securities and Exchange Commission, the CFTC, and the Internal Revenue Service have implemented whistleblower incentive programs, regulators in other areas, such as wildlife crime, should also provide greater incentives for individuals to come forward. [read post]
16 Mar 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed cybersecurity requirements for various market entities, including certain stock market participants and exchanges. [read post]
30 Mar 2007, 9:36 am
However, some business groups argue that investors and lawmakers should wait and see how companies respond to the new executive pay disclosure rules issued by the Securities and Exchange Commission last year. [read post]
9 May 2012, 12:51 pm
Form 10-K Annual Report For the Fiscal Year Ended December 31, 2011, which was filed with the Securities and Exchange Commission on February 28, 2012: As previously disclosed, Merck is a defendant in product liability lawsuits in the United States involving Fosamax (the “Fosamax Litigation”). [read post]
23 Jul 2021, 12:43 pm
Securities and Exchange Commission (SEC). [read post]
6 Jun 2016, 9:30 pm
Securities and Exchange Commission (SEC) and the European Union have now announced rules that discourage the use of conflict minerals in manufacturing. [read post]
1 Mar 2012, 7:57 am
Yesterday marked the deadline for big companies operating on a calendar year to file their annual reports (Form 10-K filings) with the Securities and Exchange Commission. [read post]
27 Jul 2010, 12:54 pm
Today General Electric (GE) settled allegations by the Securities and Exchange Commission that several subsidiaries had paid the Iraqi government to win contracts under the U.N. [read post]
22 Mar 2012, 7:46 am
That’s using the standard compensation calculation required by the Securities and Exchange Commission. [read post]
