Search for: "In Re Securities and Exchange Commission"
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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]
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]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [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]
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]
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]
19 Aug 2013, 6:28 am
The Securities and Exchange Commission wants it to be better. [read post]
1 Jul 2020, 6:03 am
Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Comprehensive disclosure requirements to allow investors and the public to analyze companies during the COVID-19 pandemic. [read post]
7 Apr 2022, 9:01 pm
Securities and Exchange Commission. [read post]
13 Oct 2018, 7:22 am
Securities and Exchange Commission. [read post]
26 Jan 2023, 9:30 am
Tonkovic, J.D.In its first open meeting of 2023, the SEC unanimously approved the re-proposal of a 2011 rule prohibiting certain conflicts of interest in the context of asset-backed securities. [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
2 Apr 2013, 10:12 am
The current standard requires that Minnesota’s utilities secure 25% of their power from renewable sources by 2025 (30% for Xcel Energy in exchange for nuclear waste storage at Prairie Island). [read post]
25 May 2011, 6:42 am
Here's a report that turns over some rocks at the Securities and Exchange Commission, exposing some ugly critters underneath. [read post]
27 Sep 2023, 9:00 am
Securities and Exchange Commission (SEC) reminding employers to review their separation agreements. [read post]
27 Sep 2023, 9:00 am
Securities and Exchange Commission (SEC) reminding employers to review their separation agreements. [read post]
5 Feb 2018, 12:00 am
On March 12, 2014, VEON filed a Form 6-K disclosing it was under investigation by the Securities Exchange Commission (“SEC”) for its operations in Uzbekistan. [read post]
6 Oct 2021, 12:57 pm
The first of these is to know that just because you provide information to the Securities and Exchange Commission (SEC) about a potential securities violation, that does not mean that you are automatically eligible to receive a whistleblower award. [read post]
