Search for: "In Re Securities and Exchange Commission"
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7 Sep 2012, 11:01 am
Securities and Exchange Commission. [read post]
6 Sep 2012, 1:53 am
” Her article notes that recently a number of companies “have warned investors in their prospectuses filed with the Securities and Exchange Commission that the JOBS Act’s breaks on SEC rules could actually be a turnoff. [read post]
4 Sep 2012, 5:15 pm
Written by: Jay Gould On August 30, 2012, the Securities and Exchange Commission (the “SEC”) released the Dodd Frank Act’s mandated study (the “Study”) on the financial literacy of retail investors which concludes, as you might have predicted, that retail investors are essentially clueless about investing and financial matters generally. [read post]
31 Aug 2012, 6:21 am
On August 23, 2012, the Ontario Securities Commission (OSC) published proposed amendments to its fee rule, 13-502. [read post]
29 Aug 2012, 4:05 pm
Melvin, Jr. was sued by the Securities and Exchange Commission for alleged Insider Trading. [read post]
28 Aug 2012, 8:56 pm
Securities and Exchange Commission (SEC). [read post]
28 Aug 2012, 8:56 pm
Securities and Exchange Commission (SEC). [read post]
28 Aug 2012, 7:45 am
” Because the Act required the Securities and Exchange Commission to come up with regulations to enact the lifting of the restriction. [read post]
27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
24 Aug 2012, 6:52 am
Money Market Fund Reforms Hit Roadblock by Joe Mont in Compliance Week‘s The Filing Cabinet Overruled by three of her commissioners, Securities and Exchange Commission Chair Mary Schapiro has been rebuffed in her two-and-half-year effort to reform money market funds. [read post]
23 Aug 2012, 7:04 am
Yesterday, the Securities and Exchange Commission adopted a measure intended to try to slow demand for materials mined under often-brutal conditions in the Democratic Republic of Congo and nearby countries. [read post]
21 Aug 2012, 9:30 pm
(Image of the SEC headquarters is provided by the Securities and Exchange Commission and used under a Creative Commons license) [read post]
20 Aug 2012, 6:05 pm
”Kenneth Bell, Court-appointed Receiver of ZeekRewardsThe Securities and Exchange Commission ("SEC")'s shutdown of ZeekRewards last Friday left many of the estimated one million victims shocked and confused, with many still refusing to believe that they had fallen victim to one of the largest Ponzi schemes in history. [read post]
20 Aug 2012, 7:53 am
Just one example of the fraud perpetuated by the corporate leaders was outlined in the so-called Abacas lawsuit, in which the Securities and Exchange Commission had alleged that the company didn't inform investors of the role played by a hedge fund in betting against the securities. [read post]
17 Aug 2012, 11:10 am
The Securities and Exchange Commission (SEC) has been investigating various banks regarding their involvement in the real estate crisis. [read post]
17 Aug 2012, 6:54 am
The Securities and Exchange Commission ("SEC") has charged College Football Hall of Fame coach Jim Donnan and his business partner, Gregory Crabtree, with running an $80 million dollar Ponzi scheme. [read post]
17 Aug 2012, 5:35 am
Securities and Exchange Commission has charged an executive at Bristol-Myers Squibb with insider trading, citing his Internet searches as support that he tried to cover up his illegal acts. [read post]
15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [read post]
15 Aug 2012, 7:49 am
- http://bit.ly/MYnQsY (Evan Koblentz) Lawmakers, Security Experts Lament Stalled Cyberattack Legislation - http://bit.ly/OLJ494 (Catherine Dunn) Multimillion-Dollar Patent Infringement Verdict Against RIM Overturned - http://bit.ly/MGjR49 (Rob Gillies) New OWA User Interface Shines Across Platforms – http://bit.ly/P82KEo - (John Mello) New Privacy Concerns? [read post]
15 Aug 2012, 7:49 am
- http://bit.ly/MYnQsY (Evan Koblentz) Lawmakers, Security Experts Lament Stalled Cyberattack Legislation - http://bit.ly/OLJ494 (Catherine Dunn) Multimillion-Dollar Patent Infringement Verdict Against RIM Overturned - http://bit.ly/MGjR49 (Rob Gillies) New OWA User Interface Shines Across Platforms – http://bit.ly/P82KEo - (John Mello) New Privacy Concerns? [read post]
