Search for: "In Re Securities and Exchange Commission"
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30 Apr 2012, 7:33 am
Not only did the Justice Department and the Securities and Exchange Commission take no action against them, but the executives involved weren't even named. [read post]
29 Apr 2012, 10:15 pm
After the hearing the Securities and Exchange Commission’s (SEC) aversion to regulatory analysis reported here, the Financial Services Committee filed a report on April 25, 2012, recommending (to the Committee of the Whole House), H.R. 2308, to improve the consideration by the Securities and Exchange Commission of the costs and benefits of its regulations and orders, with an amendment (H. [read post]
26 Apr 2012, 7:04 am
Both men surely knew that the enemy would watch their exchange on television or read about it on the internet. [read post]
25 Apr 2012, 10:52 pm
McCarthy introduced their proposal in response to a Securities and Exchange Commission (SEC) study that revealed the agency lacks resources to adequately examine the nation’s nearly 12,000 registered advisers. [read post]
25 Apr 2012, 9:29 pm
For the most part, investigations by the Securities and Exchange Commission, which handles that part of the FCPA dealing with books and records (aka “accounting irregularities”), lead to fines. [read post]
25 Apr 2012, 11:28 am
In the latest salvo, Public Knowledge’s Harold Feld (and other critics of the deal) aren’t happy that Verizon seems to be working to appease the regulators by selling off some of its spectrum in an effort to secure approval for its deal. [read post]
24 Apr 2012, 3:21 pm
Rather, I will focus on one of the changes to Section 12(g) of the Securities Exchange Act of 1934 in the context of teaching the law of business associations and U.S. securities law. [read post]
22 Apr 2012, 10:15 pm
Plaintiffs claim the CFTC final rule failed to explain its reversal of a 2003 decision not to regulate an area already regulated by the Securities and Exchange Commission. [read post]
16 Apr 2012, 12:57 pm
Speaking at the Rocky Mountain Securities Conference in Colorado a few days ago, Securities and Exchange Commission Chairman Daniel Gallagher said that the imposition of an industry-wide bar, which is authorized under Section 925 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, shouldn’t be applied to misconduct that happened before the financial reform statute was enacted. [read post]
13 Apr 2012, 6:47 pm
Securities and Exchange Commission filing that the drugmaker has settled 70 cases over the Yasmin line of contraceptives. [read post]
12 Apr 2012, 12:19 pm
Very helpfully, the Securities and Exchange Commission, moving very quickly, has issued several sets of frequently asked questions about the Jumpstart our Business Startups (JOBS) Act signed into law last week. [read post]
11 Apr 2012, 6:27 am
They’re back! [read post]
10 Apr 2012, 12:36 pm
Norris (“Norris”) petitions for review of an arbitrator’s decision affirming his removal from his position as a Trial Attorney with the Securities and Exchange Commission (“SEC”). [read post]
6 Apr 2012, 5:02 am
See In re Desano, Initial Decisions Release No. 412 (admin proc. [read post]
6 Apr 2012, 3:25 am
In order to secure access to that material, a “warrant” would still be necessary. [read post]
4 Apr 2012, 1:16 pm
The Securities and Exchange Commission appointed a receiver to marshal the assets of one participant in the scheme. [read post]
4 Apr 2012, 5:55 am
“We’re interested in understanding the ownership structure and history” of the firms, said Daniel Hawke, head of the Securities and Exchange Commission’s market abuse enforcement unit. [read post]
30 Mar 2012, 10:46 am
A key member of the government’s broad probe into insider trading in corporate America is leaving the Securities and Exchange Commission to return private practice. [read post]
28 Mar 2012, 2:51 pm
How are offers born and then re-born?. [read post]
28 Mar 2012, 5:39 am
As with the big Dodd-Frank law of 2010 that increased regulatory oversight, this law that decreases the regulatory burden tasks the Securities and Exchange Commission with many tasks. [read post]
