Search for: "In Re Securities and Exchange Commission"
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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]
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]
11 Feb 2014, 5:00 am
IA Watch was able to get Drew Bowden, the Securities and Exchange Commission’s Director of the Office of Compliance Inspections and Examinations, to sit down for an interview. [read post]
11 Feb 2014, 5:00 am
IA Watch was able to get Drew Bowden, the Securities and Exchange Commission’s Director of the Office of Compliance Inspections and Examinations, to sit down for an interview. [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]
18 Jan 2023, 8:12 am
The Securities and Exchange Commission (SEC) Commission issued a new bulletin educating investors about performance claims. [read post]
30 Aug 2020, 3:45 pm
The Securities and Exchange Commission made some small changes to the definition of “accredited investor” last week. [read post]
23 May 2011, 9:47 am
The Justice Department and Securities and Exchange Commission continue to rely heavily on companies to shine a spotlight on themselves and to root out potential fraud within their own walls. [read post]
11 Oct 2021, 1:18 pm
That’s why Securities and Exchange Commission (SEC) sees retaliation—being punished for having made a report of wrongdoing—as a primary threat to its whistleblowing initiative: If people believe they will be punished for reporting companies’ malfeasance to the SEC, then they’re less likely to come forward. [read post]
6 Aug 2007, 6:11 am
Securities and Exchange Commission filing by the company. ... [read post]
20 Jul 2023, 1:23 pm
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
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]
17 Jul 2023, 5:49 am
This challenge just got messier with the recent decision in the case of the Securities and Exchange Commission v Ripple Labs. [read post]
21 Jun 2018, 12:32 pm
Securities and Exchange Commission, which questioned the constitutionality of the SEC’s ALJs. [read post]
6 Mar 2014, 10:54 am
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]
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]
28 Jul 2022, 9:08 pm
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]
14 Jun 2023, 8:40 am
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]
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]
28 Apr 2021, 1:01 pm
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]
