Search for: "In Re Securities and Exchange Commission"
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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]
10 Nov 2010, 11:14 am
The co-chairmen of President Barack Obama’s debt-reduction commission will propose cuts to Social Security and Medicare, as well as reductions in income tax rates in exchange for curbing tax breaks, according to a Republican aide who attended the meeting. ... [read post]
1 Jun 2022, 6:31 am
Recent rulings in the United States and overseas, coupled with the Securities and Exchange Commission’s (SEC) recently proposed disclosure rules covering climate-risk disclosures, underscore the attention boards of directors and management must continue to pay to climate change and its potential impact on business operations and the risks faced by companies across all sectors of the economy. [read post]
1 Jun 2022, 6:31 am
Recent rulings in the United States and overseas, coupled with the Securities and Exchange Commission’s (SEC) recently proposed disclosure rules covering climate-risk disclosures, underscore the attention boards of directors and management must continue to pay to climate change and its potential impact on business operations and the risks faced by companies across all sectors of the economy. [read post]
10 Jun 2014, 5:00 am
See In re North East Capital, Exchange Act Release No. [read post]
28 May 2009, 4:00 am
On May 14, the Securities Exchange Commission said they were proposing New Custody Rules for Investment Advisers. [read post]
20 Mar 2007, 8:48 pm
Securities and Exchange Commission, we’ll be dancing in the streets. [read post]
20 Dec 2011, 11:49 am
See In re Vivendi Universal Securities Litigation, (SDNY 2011).The Chamber also observed that courts have correctly concluded that when a plaintiff purchases the securities issued by a defendant on a U.S. exchange, a Section 10(b) remedy is available against the issuer for fraudulent conduct. [read post]
5 Jan 2023, 6:17 pm
The Exchange Act voids “[a]ny condition, stipulation, or provision binding any person acquiring any security to waive compliance with any provision of this title. [read post]
21 May 2021, 1:26 pm
reduce his sentence in exchange for Khan giving up on his effort to secure testimony regarding his treatment while in CIA custody. [read post]
27 Sep 2018, 2:55 am
Securities and Exchange Commission (SEC) and appropriate state agency, unless they fall into an exemption. [read post]
25 Dec 2009, 7:36 am
King, 63, has been charged by the Securities and Exchange Commission (SEC) with taking bribes to ignore wrong doing in relation to the alleged Ponzi scheme. [read post]
17 Dec 2010, 12:29 pm
They say they're worried that the new whistleblower law, which provides for a bounty to anyone who reports fraud to the Securities and Exchange Commission that results in monetary penalties, will undermine their internal compliance procedures. [read post]
1 Nov 2010, 5:00 am
In a win for the Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”), the Second Circuit Court of Appeals, reversed a settlement in a shareholder derivative case against DHB Industries, Inc. [read post]
29 Jan 2013, 6:54 am
The Securities and Exchange Commission recently charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities in the wake of the financial crisis so he could generate additional revenue for his firm. [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
9 May 2017, 11:41 am
Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. [read post]
3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
3 Dec 2018, 8:43 pm
The dividing lines were apparent at Monday’s argument in Lorenzo v Securities and Exchange Commission, as several justices seemed to think it self-evident that the conduct of petitioner Francis Lorenzo amounted to a fraudulent scheme under the federal securities laws, while at least one justice, Neil Gorsuch, appeared ready to rule for Lorenzo. [read post]
7 Nov 2018, 7:55 am
The Securities and Exchange Commission says “no. [read post]
