Search for: "In Re Securities and Exchange Commission" Results 21 - 40 of 2,769
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24 Oct 2014, 10:17 am by John Jascob
The exchange also asserted that its 2010 re-proposed rule responded to the D.C. [read post]
17 Apr 2023, 5:00 am by Unknown
“Given how crypto trading platforms operate, many of them currently are exchanges, regardless of the reopening release we’re considering today. [read post]
12 Nov 2008, 4:09 pm
On Monday, November 10, 2008, Forest Laboratories, Inc. filed a quarterly report with the Securities and Exchange Commission, revealing that it had agreed in principle to a settlement amounting to $65 million in In re: Forest Laboratories, Inc. [read post]
21 Dec 2010, 2:52 pm
Today, the San Francisco Regional Office of the Securities and Exchange Commission (SEC) levied securities fraud charges against local investment advisors responsible for managing the American Pegasus Auto Loan Fund, a $100 million hedge fund that invested in subprime automobile loans. [read post]
21 Aug 2017, 5:00 am by Sean Cuff
File No. 3-17809 (Jan. 24, 2017), the Securities and Exchange Commission (“Commission”) found, in actions where the respondents neither admitted nor denied the findings, that Citigroup Global Markets Inc., (“CGMI”), and Morgan Stanley Smith Barney LLC (“MSSB”) violated Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
25 Mar 2014, 8:51 am
 And then, you stumble across a seemingly mundane press release from the Securities and Exchange Commission and it just strikes you as hilarious but for the fact that there’s not much humor in the release.Consider these opening line from an SEC press release (’34 Act Release No. 71814, March 27, 2014):The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section… [read post]
14 Sep 2011, 2:45 pm by Securites Lawprof
establish the Investor Advisory Committee (September 13, 2011): Today, the Securities and Exchange Commission (“SEC”) announced the formation of a new Advisory Committee on Small and Emerging Companies (the “ACSEC”),... [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
13 Jan 2010, 4:19 pm
You can read the text of the Fed's guidance in the Federal Register here.The Securities and Exchange Commission ("SEC")In an effort to better enable investors trying to identify the internal risk assumption and reward of a company, the SEC has adopted amendments regarding the disclosure of all employees' compensation. [read post]
6 Sep 2007, 5:14 am
  On March 22, 2007, the Securities and Exchange Commission (SEC) issued an Order Instituting Proceedings (OIP) against Salvatore F. [read post]
26 Nov 2009, 7:15 pm by Sam E. Antar
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
15 Jun 2011, 11:47 pm by By DEALBOOK
The Securities and Exchange Commission and the Commodity Futures Trading Commission are scrambling to write the rules required by Dodd-Frank, but their expanded workload means they're both going to miss the July deadline the law stipulates. [read post]