Search for: "In Re Securities and Exchange Commission"
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24 Feb 2012, 11:10 am
Securities and Exchange Commission chief litigation counsel Matthew Martens defended the agency's prowess in court - as well as its willingness to enter into what he termed "appropriate" settlements. [read post]
9 Nov 2021, 8:33 am
On December 22, 2020, the Securities and Exchange Commission adopted the new Marketing Rule (amended Rule 206(4)-1) under the Investment Advisers Act that will replace both the current advertising and cash solicitation rules and will govern investment adviser marketing. [read post]
1 Feb 2011, 1:36 pm
The Securities and Exchange Commission has charged eight people with fraud in a global, $33-million pump-and-dump scheme involving Chinese companies that went public in the U.S. through reverse mergers.The defendants include Francis A. [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]
3 Jun 2008, 2:48 am
In doing so, Congress and the Securities and Exchange Commission pressured Delaware to update is law on directorial roles. [read post]
19 Jan 2012, 11:34 am
Thus, the re-proposal is designed to inform judgments, ensure an open exchange of views and protect consumers while avoiding unjustified costs and burdens. [read post]
2 Aug 2011, 5:51 am
They were right – the four Gen Re executives and the AIG executive were all convicted of conspiracy, mail fraud, securities fraud, and making false statements to the Securities and Exchange Commission Tom notes that the court rejected other arguably sound bases for reversal and that It’s never easy being an appellant, even after a trial that is chock full of prosecutorial misconduct. [read post]
7 Mar 2011, 12:17 pm
As the Securities andamp; Exchange Commission former enforcement chief, William R. [read post]
20 Feb 2023, 9:01 pm
Securities and Exchange Commission (“SEC”) issued a proposed rule to prohibit material conflicts of interest in the sale of asset-backed securities (“ABS”). [read post]
22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
31 May 2014, 6:00 am
Although US Securities and Exchange Commission (SEC) enforcement actions related to financial fraud and issuer disclosures have been on a decline since 2007, recent statements and actions suggest that the SEC is likely to re-focus its efforts on detecting, pursuing, and preventing accounting fraud. [1] Since her confirmation as Chair of the SEC, Mary Jo White has made it clear that her administration will focus on identifying and investigating accounting abuses at… [read post]
22 Sep 2011, 6:35 am
Jim Copland speaks with Harvey Pitt, former chairman of the Securities and Exchange Commission, about shareholder proposal trends over the last four years and how the SEC has changed since Dodd-Frank. [read post]
7 Dec 2009, 5:42 pm
A long awaited lawsuit from the Securities and Exchange Commission against former executives from mortgage giant New Century arrived Monday. [read post]
24 Jun 2019, 11:59 am
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
23 Dec 2024, 5:00 am
The Securities and Exchange Commission brought charges against three firms for failing to file Form D on time. [read post]
3 Mar 2024, 7:51 pm
Don’t treat this as optional: Recent attacks on the Securities and Exchange Commission’s official X account and thousands of accounts at 23andMe might have been blocked had those users enabled 2FA. [read post]
8 Feb 2007, 9:00 am
Apparently, one of its employees was engaged in "fraudulent securities practices" and the Securities and Exchange Commission determined the activity comprised a "'serious[]' pattern of misconduct" on the part of Bank of America Corporation. [read post]
11 Oct 2021, 7:32 am
The Securities and Exchanges Commission (SEC) has been awarding millions of dollars to whistleblowers in recent years—and the Commission has been awarding larger bonuses, more frequently. [read post]
6 May 2011, 11:19 am
Securities & Exchange Commission's new program rewarding individuals for their cooperation has been "a success," said Enforcement Division head Robert Khuzami, speaking today at a securities law conference in Colorado. [read post]
14 Jun 2023, 9:01 pm
Securities and Exchange Commission, at the Small Business Capital Formation Advisory Committee in Washington, D.C. [read post]
