Search for: "In Re Securities and Exchange Commission"
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6 Dec 2011, 6:00 pm
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
28 Feb 2023, 6:06 am
“Big Law Firms Back Covington in SEC Fight Over Client Data” — “A total of 83 US law firms are backing Covington & Burling in its fight with the Securities and Exchange Commission over client data. [read post]
16 Mar 2016, 9:19 am
And it has heard major challenges in military commissions cases. [read post]
21 Jun 2018, 8:26 am
Securities and Exchange Commission. [read post]
23 May 2018, 8:11 am
The Securities and Exchange Commission building, located in Washington, D.C.Members of Congress are urging the Securities Exchange Commission (SEC) to investigate the illegal trafficking of wildlife on Facebook. [read post]
4 Jun 2009, 5:00 am
Nonetheless, exposure of the voting process was likely to lead to substantive changes in behavior (see Essay: Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure). [read post]
16 Oct 2023, 3:30 am
This excerpt from the fact sheet explains why this new rule matters: Section 13(f)(2) of the Securities Exchange Act of 1934 (“Exchange Act”), added under Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires the Commission to prescribe rules to make certain short sale related data publicly available. [read post]
23 Mar 2023, 9:30 pm
The Commission has taken issue not just with sales for cash, but also “giveaways. [read post]
7 Nov 2022, 12:15 am
The Securities and Exchange Commission new "clawback" rules were approved on a divided vote. [read post]
6 Apr 2010, 1:59 pm
There are a variety of circumstances under which investors may provide sensitive tax-related information to the Securities and Exchange Commission; they may be victims of securities fraud eager to assist the SEC in recovering lost monies or, under the SEC's newly-developed policy of encouraging and rewarding cooperation -- previously reported here -- they may be low-level participants in the fraud anxious to prove their bona fides. [read post]
11 Sep 2008, 9:38 pm
These provisions respectively will allow the Commission to allocate its funds more efficiently and prevent bad actors from re-entering other parts of the industry. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [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]
11 Jun 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
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]
10 Sep 2008, 12:59 am
Securities and Exchange Commission Head Christopher Cox has introduced IDEA, an interactive system that will let investors more easily access key financial data about mutual funds and public companies. [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]
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]
