Search for: "In Re Securities and Exchange Commission"
Results 61 - 80
of 2,817
Sorted by Relevance
|
Sort by Date
18 Jan 2019, 7:08 am
No. 33344 / January 16, 2019)https://www.sec.gov/litigation/opinions/2019/33-10602.pdf [Ed: footnote omitted]:The Securities and Exchange Commission has experienced a lapse in appropriations. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
9 Jan 2017, 8:35 am
Securities and Exchange Commission (SEC) to expedite their investigation of Tyson’s deceptions. [read post]
30 Dec 2009, 1:10 pm
Somers On December 14, 2009, the Securities and Exchange Commission re-opened for 30 additional days the comment period for its proposed proxy access rules. [read post]
15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [read post]
7 Nov 2016, 2:59 am
Case In Point In an Order Instituting Administrative and Cease-and-Desist Proceedings (the "OIP"), the Securities and Exchange Commission's ("SEC's") Division of Enforcement ("Enforcement") alleged that Respondent Christopher M. [read post]
1 Aug 2017, 10:59 am
The post SEC charges Former LPL Brokers re annuity recommendations appeared first on White Securities Law. [read post]
1 Aug 2017, 8:14 am
The post SEC charges Former LPL Brokers re annuity recommendations appeared first on White Securities Law. [read post]
13 May 2014, 12:12 pm
Securities and Exchange Commission (SEC) has been considering how the use of the social media by public companies fits within the existing regulatory framework. [read post]
22 Aug 2018, 1:28 pm
In re: Pending Administrative Proceedings (Order, Securities and Exchange Commission; '33 Act Rel. [read post]
8 Dec 2015, 10:30 am
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
15 May 2012, 5:00 am
Plaintiffs, acquirers of BP ordinary shares and ADS between January 16, 2007 and May 28, 2010, asserted that BP violated Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 of the Securities and Exchange Commission by issuing false or misleading statements before and after the incident. [read post]
3 Jul 2019, 3:05 pm
The Securities and Exchange Commission (SEC) announced today that it has proposed to align the minimum margin required on security futures with other similar financial products. [read post]
2 Feb 2022, 9:06 pm
If you knowingly transgress the stay, you're facing sanctions. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other… [read post]
6 Jun 2012, 5:00 am
In May 2006, the Securities and Exchange Commission (“SEC”) issued a cease and desist order stating this practice was a violation of securities laws unless it was fully disclosed. [read post]
26 Jul 2017, 7:00 am
Notwithstanding such reason, it is absolutely necessary to the future of the issuer, its directors and officers and any agents, finders, or promoters, to appreciate and understand their responsibilities upon conducting a private placement, as illustrated in the recent British Columbia Securities Commission (Commission) decision, Re SunCentro, 2017 BCSECCOM 58 (SunCentro). [read post]
5 Apr 2021, 1:56 pm
The Securities and Exchange Commission voted to take two actions to continue to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
24 Oct 2019, 6:07 am
This post is based on a comment letter that CII submitted to the United States Securities and Exchange Commission. [read post]
