Search for: "Securities and Exchange Commission"
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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]
22 Sep 2010, 7:36 am
Administrative Law Judge James Kelly is retiring from the Securities & Exchange Commission after 11 years of hearing cases brought by the agency's Division of Enforcement. [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]
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]
5 May 2009, 1:31 pm
The Securities and Exchange Commission on Tuesday accused the father-and-son team that operated the Reserve Primary Fund of securities fraud, contending they lied to investors when the fund "broke the buck" last fall and created a near panic in the money market fund industry. [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]
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]
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]
24 Jul 2007, 11:40 am
In a regulatory filing, Beazer said that last Friday it has received a formal order from the Securities and Exchange Commission to determine whether anyone or [...] [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]
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]
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]
20 Jan 2011, 9:01 am
The Securities and Exchange Commission continues its crackdown on companies for misleading investors, charging three affiliated New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities violations involving their $66 million advisory... [read post]
15 Jul 2010, 4:32 pm
Tourre, a/k/a "fabulous Fab," a vice president at the firm who was also accused of civil fraud by the Securities and Exchange Commission. [read post]
7 Feb 2007, 5:48 am
Last week, the Securities and Exchange Commission approved securities proposed by Zions Bancorp (a Utah banking group) that are designed to value the company's executive stock options. [read post]
14 May 2021, 10:15 am
., a Gaithersburg provider of platform technologies for cell engineering, announced Friday it has submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission relating to a proposed dual-listing and public offering of shares of common stock on the Nasdaq Stock Market. [read post]
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]
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]
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]
