Search for: "In Re Securities and Exchange Commission"
Results 1881 - 1900
of 2,532
Sorted by Relevance
|
Sort by Date
2 Jun 2022, 8:11 am
Relationships like this one are under scrutiny by the Securities and Exchange Commission, people close to the inquiry said. [read post]
18 Jan 2014, 7:00 am
On the cyber front, Paul reacted to the passage of the Health Exchange Security and Transparency Act of 2014, and found the bill fairly reasonable. [read post]
23 Aug 2010, 2:33 pm
” Just as one may learn significant information about charities from the publicly available Forms 990, one may acquire considerable information from Form ADV, the Uniform Application for Investment Adviser Registration, that is required to be filed with the Securities and Exchange Commission (“SEC”) and updated by all investment advisers registered with the SEC. [read post]
2 May 2019, 9:05 pm
Securities and Exchange Commission, Ford Motor Company disclosed that it is being criminally investigated by the U.S. [read post]
26 Mar 2023, 9:30 am
In 2012, he was named the Deputy Secretary of the Communist Party’s Central Commission for Discipline Inspection. [read post]
20 Sep 2024, 3:00 am
It comes only weeks after Elon Musk re-posted a parody of a Kamala Harris campaign ad on X that garnered millions of views and used AI-powered voice manipulation to make it seem Harris called herself an incompetent presidential candidate. [read post]
23 Mar 2007, 10:58 am
Securities and Exchange Commission (SEC). [read post]
6 Jan 2012, 7:48 am
Here at footnoted, with 2011 safely behind us, we’re doing the same, stepping back and looking at the filing landscape from last year with the help of our friends and coworkers at Morningstar Document Research — nee 10-K Wizard, the service we use to search and read slice, dice and crunch public-company filings with the Securities and Exchange Commissions. [read post]
23 Nov 2008, 11:38 pm
Lynn Turner, a former chief accountant with the Securities and Exchange Commission, said the bank's balkanized culture and pell-mell management made problems inevitable. [read post]
16 May 2010, 5:47 pm
They're saying we need to restrict our rights under the Constitution to defeat the terrorists. [read post]
19 Aug 2022, 4:00 am
Homeland Security Watchdog Cuffari Faces Rebukes from Lawmakers in Missing Texts Case MSN – Maria Sacchetti (Washington Post) | Published: 8/16/2022 The Department of Homeland Security’s chief watchdog rejected calls from leading Democratic legislators to recuse himself from the investigation into the erasure of text messages that Secret Service agents exchanged during the attack on the Capitol, drawing fresh rebukes from lawmakers. [read post]
20 Nov 2024, 12:29 pm
This might include payments for services rendered, product sales, commission, or tips, to name just a few. [read post]
7 Nov 2016, 9:31 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Individuals, Fined & SanctionedCaldwell International Securities Corporation of Nassau, Bahamas, Greg Allen Caldwell of Austin, Texas and Paul Joseph Jacobs of Austin, Texas submitted an Offer of Settlement in which the firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in… [read post]
25 Jun 2008, 12:35 am
It's just kinda strange CC-1: We're working Boroch: Ok. [read post]
11 Jul 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Yale Journal on Regulation, Andrew K. [read post]
2 Apr 2020, 9:05 pm
Securities and Exchange Commission (SEC) announced temporary regulations aimed at providing relief to certain entities that issue securities by extending the current filing deadlines related to Regulation Crowdfunding and Regulation A exemptions. [read post]
1 Jul 2011, 12:52 am
Wells Fargo, in a variation on the same theme, provided the judge with a copy of the Pooling & Servicing Agreement (“PSA”), but the copy was downloaded from the Securities and Exchange Commission website and was not signed, so it didn’t contain the loan schedules referenced in the agreement that should have identified the mortgage in question as being included in the pool. [read post]
27 Apr 2023, 9:01 pm
Moreover, several government agencies, including the Securities and Exchange Commission,[2] have operations plans in place that come into play during an appropriations lapse and resulting government shutdown. [read post]
28 Aug 2015, 6:40 am
Ahmad admitted he funneled business to Douglas Hampton, a securities broker, in exchange for bribes. [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
