Search for: "In Re Securities and Exchange Commission"
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8 Jan 2013, 11:08 am
§§ 78j(b), 78t(a) and 78t-1, and Securities and Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
2 Jan 2013, 9:00 pm
I thought about this album and its title while reading the Memorandum and Order from District Judge Keith Ellison in the Security and Exchange Commission (SEC) civil action filed against current and former officers of Noble Corporation, Mark A. [read post]
25 Nov 2012, 11:37 am
They’re a company with north of $2 billion in annual revenue, and as it says on their Website… “Our clients, including a majority of the 50 largest banks in the U.S., trust LPS’ in-depth experience, high-quality technology solutions and robust data and analytics to support their success. [read post]
16 Nov 2012, 9:14 am
The FINRA securities arbitration award and decision and in Michigan follows a 2011 arbitration award in Pittsburgh, andandnbsp; another identical securities arbitration award and decision in Philadelphia in June 2012. [read post]
15 Nov 2012, 12:36 pm
" BP also announced that it had reached agreement with the United States government, subject to court approval, to resolve all Federal criminal charges and all claims by the Securities and Exchange Commission (SEC) against the company stemming from the Deepwater Horizon accident, oil spill, and response. [read post]
15 Nov 2012, 12:12 pm
” Be suspicious of offers of free medical services in exchange for supplying your insurance ID. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
7 Nov 2012, 1:59 pm
Now, the Securities and Exchange Commission is asking for more comment about this proposed fund. [read post]
25 Oct 2012, 9:12 pm
“We’re here to tell you that size matters. [read post]
18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
18 Oct 2012, 9:20 am
(It should be noted that the Ontario Securities Commission indicated in Staff Notice 54-701 Regulatory Developments Regarding Shareholder Democracy Issues, in January of 2011, that it was considering a number of related issues, including amending securities laws to require individual voting and majority voting for directors). [read post]
16 Oct 2012, 12:35 pm
Typically, when you sell a security you must register the sale with the Securities and Exchange Commission (SEC). [read post]
11 Oct 2012, 4:22 am
Denbury Res. [read post]
11 Oct 2012, 4:22 am
Denbury Res. [read post]
9 Oct 2012, 3:53 pm
According to Commodity Futures Trading Commission Bart Chilton, the financial system needs to undergo a “cultural shift” that should include employing a risk-based compensation structure instead of one that is “purely profit-based. [read post]
25 Sep 2012, 10:08 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
18 Sep 2012, 8:41 am
Securities and Exchange Commission to take a company public–including the ability to keep that very fact private. [read post]
11 Sep 2012, 1:36 am
It is worth noting the DCF’s own observation in the guidance that it “is not a rule, regulation, or statement of the Securities and Exchange Commission”. [read post]
10 Sep 2012, 11:08 am
Justice Department, the Securities and Exchange Commission and a number of state attorneys general, was supposed to pool its resources in an investigation into who should be held legally responsible for the housing collapse and subsequent economic implosion. [read post]
9 Sep 2012, 3:44 pm
On August 29, 2012, the Securities and Exchange Commission (the SEC) issued proposed amendments to Rule 506 of Regulation D and Rule 144A to implement Section 201(a) of the JOBS Act. [read post]
