Search for: "In Re Securities and Exchange Commission"
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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]
10 Aug 2012, 10:30 am
Specifically, the section requires the Securities and Exchange Commission (SEC) to modify the general solicitation/advertising provisions in Rule 502(c) so they will not apply to Rule 506 offerings if all purchasers in the offering are accredited investors. [read post]
8 Aug 2012, 5:29 am
“Jury to Hear Samsung Destroyed Evidence” http://bit.ly/QbbWY6 (Project Counsel) On Eve of Trial, Apple Obtains Adverse Inference Instruction for Samsung’s Email Spoliation - http://bit.ly/LPLcz8 (John Horan) Reports and Resources ABA Tech Survey: A Third of Lawyers Use Tablets, a Few Still on Dial-Up - http://bit.ly/OqgWs1 (Evan Koblentz) Cyber Security Task Force: Public-Private Information Sharing (PDF) http://bit.ly/PEUnyh (National Security… [read post]
7 Aug 2012, 11:42 am
" S2KM's blog post addressed the following issue: "What impact will a new uniform fiduciary standard, being developed by the Securities and Exchange Commission (SEC) as one result of the Dodd–Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), have upon existing structured settlement and settlement planning business models and practices? [read post]
7 Aug 2012, 8:44 am
Among the factors which have been considered by the courts and the Commodity Futures Trading Commission (CFTC) are: 1) the commission-to-equity ratio; 2) the percentage of day trades; 3) departure from a previously agreed upon strategy; 4) whether the account was traded while it was undermargined; and 5) re-establishment of previously liquidated positions in the same or related contracts. [read post]
7 Aug 2012, 8:44 am
Among the factors which have been considered by the courts and the Commodity Futures Trading Commission (CFTC) are: 1) the commission-to-equity ratio; 2) the percentage of day trades; 3) departure from a previously agreed upon strategy; 4) whether the account was traded while it was undermargined; and 5) re-establishment of previously liquidated positions in the same or related contracts. [read post]
6 Aug 2012, 2:30 am
Brendler and his fellow jurors - a group that included a security guard, a lab technician and a full-time musician in a rock 'n' roll band - cleared the former Citigroup executive, Brian Stoker, of wrongdoing over his role in selling a complex $1 billion mortgage bond deal during the waning days of the housing boom.But even as the jury reached a consensus that the Securities and Exchange Commission failed to prove its case, it was left with an uneasy… [read post]
4 Aug 2012, 3:20 pm
The release also notes that audit committees should be aware that the PCAOB regularly communicates company-specific inspection information to the Securities and Exchange Commission, including information about auditing deficiencies, possible material misstatements, potential audit firm independence violations and other issues, all of which are first discussed with the company’s audit firm during the inspection process. [read post]
30 Jul 2012, 12:01 am
Every publicly held corporation whose stock trades in the United States is required by the Securities and Exchange Commission to file a detailed annual report (Form 10-K) at the end of its fiscal year. [read post]
27 Jul 2012, 11:23 am
fragmentation in IEL Chair: Marion Panizzon (University of Bern) Thomas Cottier (University of Bern) and Hannes Schloemann (WTI Advisors), Re? [read post]
23 Jul 2012, 12:14 am
” The article noted that “some banks don’t want to report high rates they’re paying for short term loans because they don’t want to tip off the market that they’re desperate for cash. [read post]
10 Jul 2012, 8:25 am
Q: The US Securities and Exchange Commission recently announced an investigation into whether Hollywood studios were bribing PRC government officials to film and distribute movies in China. [read post]
9 Jul 2012, 8:37 pm
Here’s the problem with the story we’re getting from Google: the word “inadvertently. [read post]
9 Jul 2012, 6:50 pm
There’s also the fact that the 9/11 case will be Guantanamo’s most consequential prosecution, and thus deliver a verdict on the re-tooled commission system. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
24 Jun 2012, 10:25 pm
Circuit vacated a Securities and Exchange Commission (SEC) enforcement order as another example of agency action without a reasoned explanation. [read post]
21 Jun 2012, 2:01 pm
Members of the Securities and Exchange Commission’s Investor Advisory Committee are cautioning that it is imperative that the SEC not ignore its rulemaking obligations that it was tasked under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act even as it seeks to implement the new capital formation statute. [read post]
21 Jun 2012, 1:56 pm
The Securities and Exchange Commission (SEC), since its creation in 1934, has always had a program in place to report fraud, however this program has not had any financial incentive for people to report companies to the SEC until very recently. [read post]
21 Jun 2012, 7:14 am
After last month's issues with the Facebook Inc. initial public offering ("IPO"), a bipartisan group legislators have asked the Securities and Exchange Commission ("SEC") to overhaul the IPO process, claiming that the current system unfairly punishes small investors. [read post]
