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2 Feb 2010, 2:55 am by Sam E. Antar
David Chidester resigned Jan. 20 amid an ongoing investigation of Overstock by the Securities and Exchange Commission and one day after an unflattering article about CEO Patrick Byrne appeared in The Big Money, a business Web site by the editors of Slate. [read post]
1 May 2015, 9:37 am by Lax & Neville LLP
On April 16, 2015, the Securities and Exchange Commission (“SEC”) filed a complaint (“Complaint”) in the United States District Court for the Southern District of New York against former J.P. [read post]
27 Aug 2018, 12:34 pm by Lubiner, Schmidt & Palumbo, LLC
The Securities Exchange Commission on Tuesday filed charges against companies and “individuals” for selling Woodbridge Securities. [read post]
9 Aug 2007, 9:30 am
Moments ago, we received a trusty securities alert from Securities Mosaic announcing that Roel C. [read post]
24 Jan 2011, 8:40 am
The Securities and Exchange Commission, as required by the Dodd-Frank financial reform law issued a report to Congress on Friday advocating that any investment professional, stockbrokers and investment advisors providing personalized investment advice to retail customers would have to adhere to a fiduciary standard, including the duty of loyalty, and the duty of care, in connection with the recommendation of investments and investment services. [read post]
8 Nov 2021, 1:38 pm by Mark Astarita
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
30 Mar 2022, 12:56 pm by Steve Bainbridge
From Bloomberg News: The proposed language would require companies to disclose to the Securities and Exchange Commission any analyses they use to measure the resilience of their business strategies... [[ This is a content summary only. [read post]
8 Apr 2020, 6:33 am by Renae Lloyd
  The post Securities & Exchange Commission: $1.6 Million Whistleblower Award appeared first on The White Law Group. [read post]
29 Sep 2016, 5:28 am by Eric C. Chaffee
SEC Release No. 34-78962 has been issued and states in part the following: The Securities and Exchange Commission (“Commission”) proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement cycle for... [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal… [read post]
15 Jun 2011, 5:00 pm by Jay Eng
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [read post]