Search for: "In Re Securities and Exchange Commission"
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20 May 2022, 6:29 am
The Securities and Exchange Commission (SEC) rules make it clear that, of course, a false statement does suffice, but the law does not require that someone affirmatively says a falsehood to commit securities fraud. [read post]
29 Sep 2008, 8:21 pm
On November 28, 2007, the Securities and Exchange Commission voted to adopt an amendment to Rule 14a-8(i)(8), codifying the commission's long-standing interpretation that a company may exclude from its proxy materials shareholder proposals relating to making or opposing a director nomination or to setting up a process that would allow shareholders to conduct an election contest in the future by requiring the company to include director nominations from… [read post]
2 Aug 2021, 5:56 am
It’s been less than a year since a new disclosure rule by the Securities and Exchange Commission (SEC) took effect, which required companies to provide additional detail in their 10-K reports around their human capital management (HCM). [read post]
25 Jan 2021, 7:36 pm
Over the past decade, “restatement” is the word companies have most strenuously tried to avoid in the text of their filings with the Securities and Exchange Commission, according to an upcoming paper by academics at Georgia State University’s J. [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]
19 Mar 2025, 5:00 am
The definition of “accredited investor” is at the nexus of the Securities and Exchange Commission’s missions: (1) to protect investors, (2) to maintain fair, orderly, and efficient markets, and (3) to facilitate capital formation. [read post]
30 Oct 2024, 2:08 pm
If you have knowledge of a Ponzi scheme or other investment fraud, you may be able to help stop the fraud and earn financial compensation for yourself by submitting a whistleblower tip to the Securities and Exchange Commission (SEC). [read post]
20 Sep 2018, 6:02 am
SEC Takes Down Ponzi-Like Operation Involving 230 InvestorsThe SEC (Securities Exchange Commission) announced today that it has obtained a court order to shut down a major investment operation worth approximately $345 million. [read post]
6 Aug 2015, 1:59 pm
, In re Paradigm Capital Management, and we certainly expect to see more such cases brought by the Commission in the near future. [read post]
11 Jul 2024, 6:12 am
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
16 Jun 2022, 2:07 pm
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
18 May 2010, 1:38 pm
The Securities and Exchange Commission (SEC) brought civil fraud charges against Goldman in what may turn out to be one of the biggest cases in securities law. [read post]
21 Jun 2012, 1:56 pm
The Securities and Exchange Commission (SEC), since its creation in 1934, has always had a program in place to report fraud, however this program has not had any financial incentive for people to report companies to the SEC until very recently. [read post]
3 Mar 2010, 10:41 am
The staff of the Securities and Exchange Commission is allowing companies to omit a new AFL-CIO proposal that seeks to bar current or former CEOs from serving on the compensation committee. [read post]
7 Oct 2021, 1:46 pm
The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrency into their scams. [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
22 Dec 2022, 5:36 am
Securities and Exchange Commission (SEC), Hartman, a non-traded real estate investment trust, stated that its management is in “substantial doubt about the company’s ability to continue as a going concern,” according to thediwire.com. [read post]
14 Jan 2008, 7:30 pm
Last week the Securities and Exchange Commission (SEC) informed Usana Health Sciences (NASDAQ: USNA) that it was closing its informal investigation into the company and taking no further action at this time. [read post]
13 May 2008, 5:18 pm
In an article today about the Usana Health Sciences (NASDAQ:USNA) buyout offer by Myron Wentz (Gull Holdings), the following inaccurate statement was made: The Securities and Exchange Commission concluded during the first quarter USANA’s marketing model is not a pyramid scheme, but the stock has a short interest about 34 percent, meaning many investors are betting the stock will fall. [read post]
