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26 Apr 2013, 11:32 am
As the latest 10-K filing period for corporations draws to a close, the Securities and Exchange Commission (SEC) is expected to intensify its scrutiny on whether companies’ filings adequately disclose both information security breaches that occurred in the past, and the material risks due to... [read post]
20 May 2009, 3:11 pm
., the former chief executive of Lehman Brothers, submitted his resignation as chairman on May 14, almost eight months to the day since the securities firm filed for bankruptcy, according to a filing with the Securities and Exchange Commission on Wednesday. [read post]
7 Feb 2007, 4:20 am
The settlement, announced by the Securities and Exchange Commission, was the second such action in about [...] [read post]
4 Feb 2003, 3:45 pm
[JURIST] The US Securities and Exchange Commission has posted recorded audio of Tuesday's open meeting on securities depository rules and investment company compliance systems. [read post]
6 May 2022, 2:31 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
23 May 2009, 1:38 am
Securities regulation was much on my mind this semester, thanks to an invitation to present on the early years of the Securities and Exchange Commission to the Tobin [read post]
26 Apr 2011, 10:34 am
Securities and Exchange Commission, 40 million Americans are age 65 or older, and that number will be 89 million in 2050. [read post]
4 Jun 2009, 1:38 pm
Mozilo, the Bronx-born businessman who built Countrywide Financial into the nation's largest mortgage lender before it was knocked down by the credit crisis, has been charged with securities fraud and insider trading in a civil suit brought by the Securities and Exchange Commission. [read post]
23 Jun 2018, 1:44 am
Securities & Exchange Commission to decide the scope of primary liability/scheme liability under the federal securities laws. [read post]
6 May 2022, 2:30 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
2 Mar 2011, 2:00 pm
Securities and Exchange Commission Chairman Harvey Pitt's decision to cut short his own deposition late last week. [read post]
2 Nov 2007, 5:24 am
Citing sources close to the matter, The Wall Street Journal reported that the deals are likely to be examined by the Securities and Exchange Commission, [...] [read post]
18 Dec 2008, 8:04 am
[JURIST] US President-elect Barack Obama [transition website] on Thursday named [press release] Mary Schapiro [professional profile] as the Chairman of the Securities and Exchange Commission (SEC) [official website]. [read post]
6 May 2022, 2:26 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
6 May 2022, 2:28 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
20 Jul 2010, 8:07 am
Viniar, the chief financial officer of Goldman Sachs, said the firm had not experienced a major loss of business as a result of the securities fraud case that it settled with Securities and Exchange Commission, saying that Goldman's clients were "pretty supportive. [read post]
9 Sep 2010, 12:14 am
The British securities regulator said Thursday that it had fined Goldman Sachs £17.5 million, or nearly $27 million, for failing to disclose the Securities and Exchange Commission's investigation into the synthetic collateralized debt obligation known as Abacus. [read post]
13 Apr 2008, 6:56 pm
On Friday, JPMorgan Chase filed its registration statement on Form S-4 with the Securities and Exchange Commission related to its acquisition of Bear Stearns. [read post]
18 Sep 2008, 11:27 am
Hedge funds, known for their secrecy, are likely to be none too pleased with a Securities and Exchange Commission proposal for a disclosure rule that would require hedge funds and other large investors to disclose their short positions. [read post]
15 Oct 2021, 8:30 am
The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action. [read post]
