Search for: "Securities and Exchange Commission v. Equity Service Corp" Results 21 - 40 of 41
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3 Feb 2020, 12:42 pm by Elliot Setzer, William Ford
Wednesday, February 5, 2020, at 2:30 p.m.: The House Armed Services Subcommittee on Seapower and Projection Forces and the Subcommittee on Readiness will hold a joint hearing on Navy and Marine Corps readiness in the Pacific. [read post]
10 Dec 2009, 6:09 am by James Morphy, Sullivan & Cromwell LLP,
" 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]
22 Dec 2008, 10:30 pm
Federal Energy Regulatory Commission, et al. [read post]
Waiver of PUA Overpayments  State agencies can waive repayment requirements for individuals who mistakenly received overpayment for PUA to which they were not entitled, if the overpayment was not the individual’s fault and such repayment would be contrary to equity and good conscience. [read post]
The Numbers and Trends By virtually all statistical measures, the level of enforcement activity has increased substantially under this Commission. [read post]
28 Jan 2023, 7:32 am
Meanwhile, the Securities and Exchange Commission unveiled a slew of guidance and rule proposals to improve disclosures and add clarity to ESG investing, including the agency’s controversial proposal for climate risk disclosure. [read post]
6 Dec 2017, 1:19 pm by ligitsec
Time agreed to pay $25,000, $12,500 in advance and an additional $12,500 at publication, in exchange for the right to excerpt 7,500 words from Mr. [read post]
4 Jan 2021, 1:26 pm by Kevin LaCroix
  Regardless of how they are counted, the coronavirus-related securities lawsuits tended to fall into one of three categories: first, the lawsuit filed against companies that experienced coronavirus outbreaks within company facilities (such as cruise ship lines and private prison systems); second, companies that had sought to tout their ability to profit from the coronavirus outbreak (such as vaccine developers, diagnostic testing services,  manufacturers of personal… [read post]
3 Sep 2014, 4:14 am by Kevin LaCroix
Supreme Court’s 1974 decision in American Pipe & Construction Co. v. [read post]
29 Dec 2017, 7:34 am by Ben
It no doubt explains why Spotify and China's internet giant Tencent exchanged equity stakes of just under 10 per cent of each other, and why Tencent now has a $2 billion stake in Snapchat. [read post]
13 Jul 2021, 5:30 am by Sherron Watkins
Securities and Exchange Commission (SEC) fines and shareholder lawsuits, and get the PR crisis folks working overtime on explaining this mess to employees and shareholders. [read post]