Search for: "Securities & Exchange Commission v. Topping"
Results 361 - 380
of 403
Sort by Relevance
|
Sort by Date
10 Dec 2009, 6:09 am
" In addition, if a credit rating is used in connection with a Rule 144A offering or other private placement and the privately-offered securities are exchanged shortly thereafter for substantially identical registered securities (i.e. , an "Exxon Capital" or "A/B" exchange offer), the rating would need to be disclosed in the exchange-offer registration statement even if the rating is not otherwise used in connection with that… [read post]
14 Oct 2009, 1:42 am
SEC Broadens Inquiry Into Bank of America's Merger With Merrill
Corporate Counsel
The Securities and Exchange Commission is broadening its inquiry into the merger of Bank of America and Merrill Lynch. [read post]
28 Jul 2009, 5:36 pm
Lindsey backdated his resignation (Details here).In January 2008, the Securities and Exchange Commission discovered that Overstock.com's revenue accounting failed to comply with GAAP and SEC disclosure rules, from the company's inception (Details here). [read post]
14 Jul 2009, 6:37 am
He's a veteran of such battles as Hexion v. [read post]
13 Jul 2009, 6:45 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
12 Jun 2009, 10:49 am
Issue: Whether the Securities and Exchange Commission’s new Rule 16b-3, exempting from disgorgement those short-swing profits realized from an insider’s acquisition of securities from the insider’s own company - is a lawful interpretation of Section 16(b) of the Securities Exchange Act of 1934 and whether it can apply retroactively where it serves to clarify an ambiguity in a prior version of the rule. … [read post]
6 May 2009, 1:22 am
SEC Charges Lawyers in Pump-and-Dump Scheme
The National Law Journal
The Securities and Exchange Commission on Tuesday charged two California-based attorneys with executing fraudulent legal opinions in a pump-and-dump scheme. [read post]
28 Apr 2009, 12:45 am
Securities and Exchange Commission and the U.S. [read post]
24 Apr 2009, 3:47 am
Equal Employment Opportunity Commission (EEOC) in 2004. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
3 Apr 2009, 5:08 pm
Updated:According to Overstock.com's (NASDAQ: OSTK) proxy statement filed with the Securities and Exchange Commission on Friday, April 2, the company's $1,250,000 payment to terminate a management consulting agreement with Icent LLC, a company headed by departing Board Member James V. [read post]
20 Mar 2009, 7:00 am
Here is IP Think Tank’s weekly selection of top Online intellectual property news breaking in the blogosphere and internet. [read post]
11 Dec 2008, 7:48 am
Declarations filed by the Securities and Exchange Commission in connection with its civil case against Dreier also indicated that some firm attorneys were concerned that escrow accounts, which Dreier controlled, had been depleted. [read post]
18 Nov 2008, 5:00 pm
Implications of the Growth of Hedge Funds, Staff Report the United States Securities and Exchange Commission (September 2003). [read post]
13 Oct 2008, 12:12 pm
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
23 Aug 2008, 1:23 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
18 Jul 2008, 8:34 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
30 May 2008, 9:09 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
28 May 2008, 2:02 am
These exchanges are greatly appreciated by the Court.Thirty-three judges of the Court have previously served as members of the Commission. [read post]
19 May 2008, 7:09 am
Forbes, former board chairman of Cendant Corp., challenging his conviction for criminal conspiracy and making false statements to the Securities and Exchange Commission. [read post]
