Search for: "In Re Securities and Exchange Commission"
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28 Feb 2023, 3:00 pm
by Anne Idsal Austin and Jillian Marullo In a “groundbreaking” complaint, environmental NGO Global Witness asked the Securities and Exchange Commission (SEC) Climate and ESG Task Force to investigate oil major Shell for possible violations of federal securities laws. [read post]
21 Sep 2019, 6:17 am
Securities and Exchange Commission from Kenneth A. [read post]
31 May 2016, 10:12 am
Securities and Exchange Commission (SEC), companies are often left in the dark with regard to whether and/or when they should publicly disclose that they are under investigation. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
16 Dec 2024, 9:01 pm
Securities and Exchange Commission. [read post]
20 Sep 2018, 7:30 am
Securities and Exchange Commission. [read post]
16 Dec 2024, 9:03 pm
ENDNOTE [1] See Staff of the Division of Trading and Markets, Securities and Exchange Commission, “Re: Simplified Process for Electronic Filing of Broker-Dealer Annual Report with the Securities and Exchange Commission” (Jan. 17, 2017), available at https://www.sec.gov/divisions/marketreg/mr-noaction/2017/finra-012717-electronic-filing-annual-reports.pdf. [read post]
23 Aug 2024, 12:15 am
Last Friday, Elevai Labs Inc. filed a preliminary information statement with the Securities and Exchange Commission disclosing that its stockholders had "approved the re-domestication of the Company from a Delaware corporation to a Nevada corporation". [read post]
2 Oct 2008, 1:41 pm
Securities and Exchange Commission's proxy proposal rule allows shareholders to recommend amendments to a company's articles of incorporation. [read post]
3 May 2023, 11:54 am
Last week, Coinbase launched its first counteroffensive against the Securities Exchange Commission’s (“SEC”) aggressive enforcement posturing in the cryptoeconomy. [read post]
16 Dec 2022, 12:16 pm
The Securities and Exchange Commission proposes 1,656 pages of regulation that would re-engineer the equities market in the name of fixing a nonexistent problem. https://t.co/GXKBfB5yl3 via @WSJ— Steve Bainbridge (@PrawfBainbridge) December 16, 2022 "An SEC Inspector General report recently warned that @GaryGensler's move-fast-and-break-things agenda is overwhelming staff and diverting resources from investor protection. [read post]
8 Feb 2023, 7:49 am
Securities and Exchange Commission (SEC). [read post]
17 Jun 2014, 9:26 am
The Securities and Exchange Commission announced its first settlement of a Whistleblower Retaliation case under the new anti-retaliation authority granted by the 2010 financial overhaul law. [read post]
27 Jan 2023, 11:38 am
The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody The Securities and Exchange Commission (SEC) is reportedly examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets, according to an article by Reuters. [read post]
5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
4 Apr 2023, 6:19 pm
Securities and Exchange Commission (“SEC”) released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (the “Proposed Amendments”), while simultaneously issuing two additional cybersecurity-related rule proposals and re-opening the comment period for its previously proposed cybersecurity risk management rule released in February 2022. [read post]
4 Dec 2008, 10:00 pm
In an 8-K report filed with the Securities and Exchange Commission, STEC disclosed:On December 4, 2008, STEC, Inc. [read post]
9 Sep 2024, 8:59 am
Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. [read post]
15 Jan 2013, 5:30 am
Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty claims by the SEC and other federal agencies. [read post]
18 Jan 2023, 8:12 am
The Securities and Exchange Commission (SEC) Commission issued a new bulletin educating investors about performance claims. [read post]
