Search for: "In Re Securities and Exchange Commission"
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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]
1 Nov 2019, 7:30 am
GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. [read post]
28 Apr 2011, 10:50 am
A statutory deadline of April 21, 2011 had been imposed by Congress for the SEC (Securities and Exchange Commission) to issue rules for a whistleblower program. [read post]
29 Jun 2022, 6:51 am
Leaders of the Securities and Exchange Commission (SEC) recently released its 2022 priorities for its Department of Examinations (EXAMS)—the office charged with monitoring risks and protecting investors. [read post]
27 Sep 2022, 6:30 am
The US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) have issued a number of policy updates and public pronouncements over the last several months, emphasizing the importance of empowered and accountable corporate compliance programs. [read post]
23 Nov 2021, 7:41 am
The Commission proposed for comment new Exchange Act Rule 10c-1: "Securities lending transparency. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [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]
22 Mar 2023, 9:01 pm
Securities and Exchange Commission. [read post]
18 Dec 2019, 4:00 am
The company’s current CEO recently stated that the company is cooperating with the Securities and Exchange Commission. [read post]
29 Jun 2007, 10:04 am
Chairman Christopher Cox of the Securities and Exchange Commission told lawmakers this week that the agency plans to issue proposed proxy rule changes by late July, in an effort to have final rules in place before the 2008 U.S. proxy season. [read post]
15 Aug 2011, 2:00 am
Securities and Exchange Commission (the “Commission”) re-proposed for public comment rules that seek to enhance the disclosure, reporting and shelf eligibility requirements for issuers of asset-backed securities (ABS). [read post]
1 Jul 2010, 8:22 am
” The Securities and Exchange Commission recently announced it was deferring approval of new ETFs that use derivatives, and the SEC and the Financial Industry Regulatory Authority Inc. [read post]
30 May 2012, 6:10 am
According to reports, the Securities and Exchange Commission (SEC) has charged a Miami-based hedge fund advisor for deceiving investors about whether the company’s executives had personally invested in a Latin America-focused hedge fund. [read post]
24 Aug 2007, 8:04 am
Ten months after the New York Stock Exchange (NYSE) first proposed the elimination of discretionary broker voting in board elections, investors are still waiting for the Securities and Exchange Commission to address the issue. [read post]
21 Jun 2012, 7:14 am
After last month's issues with the Facebook Inc. initial public offering ("IPO"), a bipartisan group legislators have asked the Securities and Exchange Commission ("SEC") to overhaul the IPO process, claiming that the current system unfairly punishes small investors. [read post]
16 Aug 2023, 8:31 am
Understanding Mini-Tender Offers According to the Securities and Exchange Commission, “Mini-tender” offers involve tender offers where, upon completion, the individual making the offer will end up owning less than five percent of a company’s stock. [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
