Search for: "In Re Securities and Exchange Commission"
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27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
14 Aug 2013, 1:27 pm
Should the Securities and Exchange Commission put rules and restrictions on such communications for these type of high profile individuals? [read post]
22 May 2014, 4:45 pm
EPIC – “In a letter to the Securities and Exchange Commission, Google announced plans to place targeted ads on Google-controlled appliances. [read post]
10 Jan 2022, 9:23 am
The law is clear on this point: If you are a whistleblower who reports a possible violation to the Securities and Exchange Commission (SEC), the company cannot retaliate against you. [read post]
15 Mar 2012, 1:17 pm
According to a report this week in the Financial Times, the chief of the Securities Exchange Commission’s new Whistleblower Office, Sean McKessey, stated that the SEC has “received notes, audio recordings of conversations and simple recollections” of securities fraud and other wrongdoing since a new whistleblower reward program promising rewards for whistleblowers began last year. [read post]
28 Jul 2023, 1:02 pm
In August of 2021, The Securities and Exchange Commission stated that John J. [read post]
15 Jun 2011, 2:31 pm
Securities and Exchange Commission today announced that victims of Allen Stanford's Ponzi scheme are entitled to the protections of the Securities Investor Protection Act of 1970, which means they may be entitled to get their money back. [read post]
5 Dec 2011, 8:14 am
The Securities and Exchange Commission (SEC) has implemented a new program -- called the Aberrational Performance Inquiry (API) -- that has resulted in enforcement proceedings against three hedge funds for overstating material aspects of their business. [read post]
23 May 2022, 8:54 am
But what if you and another colleague both decide to go to the Securities and Exchange Commission (SEC) and become joint whistleblowers? [read post]
23 May 2022, 9:08 am
Of those who provide tips to the Securities and Exchange Commission (SEC) whistleblowing program, an estimated 20% are anonymous when they submit their information. [read post]
27 Sep 2011, 8:46 am
Republicans in the House and the Senate have introduced legislation requiring the Securities and Exchange Commission and other financial watchdogs to conduct a formal cost-benefit analysis, including a report by economists, before issuing any new rule. [read post]
6 May 2010, 11:18 am
Dennis Berman of the WSJ explains: The Securities and Exchange Commission is examining the disclosures Berkshire Hathaway Inc. made about its $26 billion purchase of Burlington Northern Santa Fe Corp. railroad, said people familiar with the matter. [read post]
13 Sep 2023, 8:34 am
With the onset of the crypto winter, the Securities and Exchange Commission is continuing to bring cases against crypto companies. [read post]
24 Oct 2011, 5:54 am
Because it didn’t come from the Federal Trade Commission, a Canadian Privacy Commissioner or a European Data Protection Authority – it came from the Securities and Exchange Commission (“SEC”). [read post]
22 Mar 2010, 9:02 pm
David Stawick Secretary Commodity Futures Trading Commission 1155 21st Street, NW Washington, DC 20581 Re: Request for Comment on Proposed Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries Dear Mr. [read post]
8 Jul 2014, 9:00 am
By Matthew Hafter With the Securities and Exchange Commission’s attention again returning to cybersecurity issues, many registrants are recalling the Commission’s intense focus on “Year 2000” issues over a decade ago. [read post]
28 Sep 2015, 3:48 am
Securities and Exchange Commission v. [read post]
8 Mar 2007, 4:55 pm
You and the Securities and Exchange Commission, that is. [read post]
10 Jan 2022, 8:26 am
Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation’s securities laws. [read post]
11 Oct 2021, 9:06 am
As the Commission held in In Re KBR. [read post]
