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According to a recently-released meeting agenda, the Securities and Exchange Commission’s (“SEC”) upcoming July 26, 2023 meeting will include consideration of adopting rules to enhance disclosures regarding cybersecurity risk management, governance, and incidents by publicly traded companies. [read post]
21 Aug 2017, 12:39 pm by Ken Monington
In In re Stifel, Nicolaus & Co., Inc., Investment Advisors Act Release No. 4665 (admin proc Mar. 13, 2017), the Securities and Exchange Commission (“SEC”) filed an order instituting cease-and-desist proceedings against Stifel, Nicolaus & Co., Inc. [read post]
21 Jun 2018, 12:32 pm by Alan Brackett
Securities and Exchange Commission, which questioned the constitutionality of the SEC’s ALJs. [read post]
1 Jul 2006, 8:00 pm
Call it what you will.More than 13,000 companies are listed on U.S. stock exchanges. [read post]
6 Mar 2014, 10:54 am by Tom Webley
As noted in Staff Advisory 14-21, its provisions reflect similar guidance from the Federal Financial Institutions Examination Council and the Federal Trade Commission and draft guidance from the Securities and Exchange Commission. [read post]
14 Jun 2023, 8:40 am by Silver Law Group
In our last post, we reviewed the basics of special purpose acquisition companies (SPACs), also called “blank check companies,” to understand why the Securities and Exchange Commission is so concerned about SPACs. [read post]
28 Jul 2022, 9:08 pm by Liz Dunshee
Last week, the SEC posted this order instituting proceedings on a proposed NYSE rule change to modify pricing limitations for securities listed on the Exchange via a primary direct listing. [read post]
17 Jul 2023, 5:49 am by Doug Cornelius
This challenge just got messier with the recent decision in the case of the Securities and Exchange Commission v Ripple Labs. [read post]
19 Jun 2012, 2:00 am by Keith Paul Bishop
In this recent post, I discussed a petition submitted by Professor Lucian Bebchuk and nine other academics asking that the Securities and Exchange Commission adopt rules requiring public companies to disclose to shareholders the use of corporate resources for political activities. [read post]
10 Aug 2009, 7:02 am
The United States Securities and Exchange Commission (the "SEC") recently sued Maynard Jenkins, former chief executive officer of CSK Auto Corporation ("CSK"), to reimburse CSK and its stockholders for more than $4 million worth of bonuses and stock sales while CSK was allegedly committing accounting fraud. [read post]
15 Nov 2022, 6:30 am
Introduction and Background On October 26, 2022, the Securities and Exchange Commission (SEC) adopted the final rule requiring that all listed companies adopt and disclose a clawback policy as required under Dodd-Frank. [read post]
15 Nov 2022, 6:30 am
Introduction and Background On October 26, 2022, the Securities and Exchange Commission (SEC) adopted the final rule requiring that all listed companies adopt and disclose a clawback policy as required under Dodd-Frank. [read post]
22 Jan 2025, 12:34 pm by Breezy Smoak
The Securities and Exchange Commission (SEC) swooped in once again to investigate Anti-Money Laundering violations in companies that think they’re being slick. [read post]
28 Apr 2021, 1:01 pm by Peter S. Lubin and Patrick Austermuehle
The bank then faced fraud charges by the Securities and Exchange Commission (SEC), which resulted in the bank paying $550 million to settle the charges, although Goldman refused to either admit or deny the charges. [read post]
21 Sep 2016, 7:42 am by William Foley
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
3 Feb 2011, 3:06 pm by Glenn Reynolds
ACCOUNTABILITY, LIKE TAXES, IS FOR THE LITTLE PEOPLE: SEC CAN’T PASS AUDIT: If a company’s financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
21 Mar 2007, 2:51 am
., --- F.3d ----, 2007 WL 816518 (Mar. 19, 2007):Section 10(b) [of the Securities Exchange Act] does not give rise to aiding and abetting liability. [read post]
9 Aug 2010, 11:49 am by Page Perry LLC
But the Securities and Exchange Commission is expecting a big increase in tips from senior employees and third parties because of whistleblowing incentives in the new law that can reach seven-figures, as reported by CNBC in an August 9, 2010 article entitled “Wall Street Rewards to Trigger a Surge in Informants. [read post]
15 Mar 2018, 7:16 am by John Jascob
The National Securities Markets Improvement Act of 1996 re-allocated and clarified the division of duties between federal and state securities regulators, including by defining the term “covered securities. [read post]
5 Oct 2011, 1:45 pm by Ted Allen
It's been more than 14 months since the signing of the Dodd-Frank Act, which directed the Securities and Exchange Commission to establish a new Investor Advisory Committee.So far, the SEC has not publicly announced a timetable for creating this panel, and Commissioner Luis Aguilar and some investors are asking why. [read post]