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12 Oct 2016, 12:12 pm by Jonathan H. Adler
Examples of independent agencies include well-known bodies such as the Federal Communications Commission, the Securities and Exchange Commission, the Federal Trade Commission, the National Labor Relations Board, and the Federal Energy Regulatory Commission. [read post]
6 Oct 2016, 9:30 pm by Justin Daniel
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
29 Sep 2016, 9:30 pm by Justin Daniel
” The Securities and Exchange Commission (SEC) unanimously voted to propose a rule that would shorten the settlement time for broker-dealer securities transactions from three days, referred to as T+3, to two days, or T+2. [read post]
26 Sep 2016, 4:43 am by Edith Roberts
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
5 Sep 2016, 4:52 pm by INFORRM
The first case was heard by the High Court in Bangura v Loughborough University [2016] EWHC 1503 (QB). [read post]
25 Jul 2016, 7:13 am by Doug Cornelius
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
16 Jun 2016, 2:48 pm by Kevin LaCroix
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
27 May 2016, 11:31 am by Dave Aitel
The loss of talent from our top intelligence agencies to the private sector is of grave strategic national security consequence. [read post]
21 Apr 2016, 4:45 am by Peter S. Vogel
Securities and Exchange Commission’s Cybersecurity Examination Initiative directed broker-dealers to “further  assess cybersecurity preparedness in the securities industry. [read post]
26 Feb 2016, 11:24 am by Zack Bluestone
” This flurry of diplomatic exchanges set the stage for PRC Foreign Minister Wang Yi’s previously schedule visit to Washington. [read post]
22 Jan 2016, 6:19 am by Jim Sedor
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
14 Jan 2016, 5:10 pm by Trent Dykes
  In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]
13 Jan 2016, 5:05 pm by Kevin LaCroix
  The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
4 Jan 2016, 4:08 pm by Kevin LaCroix
The list of the Top Ten D&O Stories of 2015 is set out below with an eye toward these future possibilities. [read post]
8 Dec 2015, 1:58 pm by Elina Saxena
The Security Council has not ta [read post]
24 Nov 2015, 1:21 pm by D. Daxton White
 Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with at offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Nov 2015, 6:14 am by Jim Sedor
He is charged with taking official actions on behalf of several companies in exchange for payments to his son. [read post]