Search for: "In Re Securities and Exchange Commission"
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Analysis: The Role of Investors in Black's DownfallSubmitted by: Ted Allen, Director of Publications
23 Jul 2007, 9:53 am
Tweedy, Browne also demanded an investigation in a filing with the Securities and Exchange Commission. [read post]
27 Dec 2018, 9:30 pm
Securities and Exchange Commission (SEC) issued its first fines against automated “robo” financial advisers for violating the Investment Advisers Act of 1940. [read post]
7 Jun 2018, 9:30 pm
Securities and Exchange Commission (SEC) Chairman Jay Clayton announced in an exclusive interview with CNBC that initial coin offerings (ICOs)—sales of digital asset tokens from ventures to investors—are securities offerings and will be regulated as securities by the SEC. [read post]
29 Aug 2024, 9:05 pm
Securities and Exchange Commission to comply with anti-money laundering and counter terrorism financing requirements. [read post]
1 Oct 2019, 7:02 am
§§ 77s-77u (Securities and Exchange Commission); 47 U.S.C. [read post]
15 Feb 2018, 4:41 pm
As amended by the HITECH Act, the civil enforcement provisions of HIPAA empower OCR to impose Civil Monetary Penalties on both Covered Entities and BAs for violations of any of the requirements of the Privacy or Security Rules. [read post]
4 Jan 2016, 4:08 pm
It was an eventful year in the world of directors’ and officers’ liability in 2015. [read post]
11 Dec 2008, 7:48 am
Declarations filed by the Securities and Exchange Commission in connection with its civil case against Dreier also indicated that some firm attorneys were concerned that escrow accounts, which Dreier controlled, had been depleted. [read post]
25 Feb 2021, 9:03 pm
Securities and Exchange Commission to establish a diversity advisory group that would submit annual reports about the state of corporate diversity to the U.S. [read post]
31 Jul 2008, 2:08 pm
"Note: Bold print and italics added by me.However, Overstock.com's Q4 2007 8-K report filed with the Securities and Exchange Commission, clearly contradicted Jonathan E. [read post]
6 Feb 2017, 7:56 am
Buyers who are protected by the Securities and Exchange Commission. [read post]
24 Aug 2023, 8:20 am
The FCPA is extremely powerful because it allows an individual to file a report anonymously and confidentially with the United States Securities and Exchange Commission (SEC), effectively protecting whistleblowers from retaliation. [read post]
28 Jun 2019, 3:00 am
Elissa Slotkin’s campaign captures the upcoming fundraising scene in Washington perfectly: “You’re about to be inundated. [read post]
2 May 2010, 6:36 pm
Instead, Congress contented itself with the disclosure and anti-fraud measures of the Securities Act of 1933 and the Securities Exchange Act of 1934, as enforced since 1934 by the then new Securities & Exchange Commission (SEC). [read post]
5 Dec 2023, 4:53 am
“And just before the attack, short selling of Israeli securities on the Tel Aviv Stock Exchange increased dramatically. [read post]
6 Apr 2007, 7:23 am
Bush's policy on prisoners accepted its premise: that the people in Guantánamo are so dangerous that letting any out will compromise American security. [read post]
15 Mar 2018, 9:30 pm
Securities and Exchange Commission (SEC) charged Jun Ying, the former chief information officer of Equifax, with insider trading. [read post]
26 Apr 2024, 10:47 am
Further, traditional listings let the homeowner choose a different agent if they’re unhappy with the service. [read post]
7 Sep 2023, 9:03 pm
Securities and Exchange Commission (SEC) issued an order directing equity exchanges and the Financial Industry Regulatory Authority to develop a new plan for producing data used in equity investing. [read post]
20 Apr 2023, 9:02 pm
Securities and Exchange Commission (SEC) voted 3-2 to reopen public comment on its proposal to expand the definition of “exchange” to include decentralized cryptocurrency platforms. [read post]
