Search for: "In Re Securities and Exchange Commission"
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20 Jun 2012, 5:00 am
I decided I’d rather deal with the Securities and Exchange Commission than a collection of state regulators. [read post]
19 Jun 2012, 7:34 am
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of pay-to-play regulation and the Commission’s attempt to implement federal pay-to-play restrictions for registered investment advisers. [read post]
19 Jun 2012, 2:00 am
In this recent post, I discussed a petition submitted by Professor Lucian Bebchuk and nine other academics asking that the Securities and Exchange Commission adopt rules requiring public companies to disclose to shareholders the use of corporate resources for political activities. [read post]
14 Jun 2012, 4:04 pm
While it is noteworthy that the DCF has cautioned that the Disclosure Guidance only represents its own views and “is not a rule, regulation, or statement of the Securities and Exchange Commission and that “the Commission has neither approved nor disapproved its content,” such cautionary comments should be taken with a grain of salt, in my view. [read post]
14 Jun 2012, 8:00 am
Sentencing Commission, former U.S. [read post]
12 Jun 2012, 6:19 pm
So you’re Judge Pohl. [read post]
8 Jun 2012, 4:58 pm
Under Section 922 of the Dodd-Frank Act, the Securities and Exchange Commission was charged with creating a bounty program to reward those who spoke out about securities fraud at their companies. [read post]
6 Jun 2012, 5:00 am
In May 2006, the Securities and Exchange Commission (“SEC”) issued a cease and desist order stating this practice was a violation of securities laws unless it was fully disclosed. [read post]
6 Jun 2012, 4:59 am
The Securities and Exchange Commission has a shotgun in its hand and is looking for zombies. [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing… [read post]
5 Jun 2012, 5:00 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires US advisers to private funds with at least $150 million in assets under management to register with the Securities and Exchange Commission as investment adviser. [read post]
4 Jun 2012, 7:53 pm
Connecticut Retirement Plans and Trust FundsDocket: 11-1085Issue(s): (1) Whether, in a misrepresentation case under Securities and Exchange Commission Rule 10b-5, the district court must require proof of materiality before certifying a plaintiff class based on the fraud-on-the-market theory; and (2) whether, in such a case, the district court must allow the defendant to present evidence rebutting the applicability of the fraud-on-the-market theory before certifying a… [read post]
4 Jun 2012, 6:29 am
Jacob Frenkel, a former Securities and Exchange Commission lawyer who is now with Shulman Rogers Gandal Pordy & Ecker PA in Potomac, Maryland, said it’s proven lying, and not reputation, that puts many celebrity defendants behind bars. [read post]
2 Jun 2012, 12:12 pm
Neither is this fauxKF sold or transacted for material gain, but only "shared" amongst its (re)creators. [read post]
1 Jun 2012, 5:06 am
Shaw, Merrill Lynch and JPMorgan Chase — and at least one is a former Securities and Exchange Commission regulator. [read post]
30 May 2012, 6:10 am
According to reports, the Securities and Exchange Commission (SEC) has charged a Miami-based hedge fund advisor for deceiving investors about whether the company’s executives had personally invested in a Latin America-focused hedge fund. [read post]
27 May 2012, 6:40 am
He said: “If you’re thinking of calling in the HMIC to investigate the police… you would always been relying to a large extent on the advice you’re receiving from the police as to why they are pursing this properly and why there is no reason to call anyone in to independently examine what they doing. [read post]
22 May 2012, 11:03 am
Senate Banking Committee today in a hearing featuring the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
22 May 2012, 9:38 am
As reported May 21 by Investment News, the Securities and Exchange Commission (SEC) is now taking a deeper look at “several areas of high risk” in the securities industry. [read post]
