Court Sets Schedule for Chamber of Commerce Vs. SEC Case
- REALITY SETS IN: FUND COMPLIANCE AFTERSHOCKS. Curtis, Carol E. // Securities Industry News;Winter2005, Vol. 17, p10
Focuses on the mutual fund reform agenda of the U.S. Securities and Exchange Commission (SEC). Details of a chief compliance officer requirement imposed on mutual funds and investment advisors; Adoption of a fund governance package by the Commission; Details of a lawsuit filed by the U.S....
- Decision clarifies misappropriation theory of insider trading. POST, ASHLEY // InsideCounsel;Dec2012, Vol. 23 Issue 252, p54
The article briefly discusses the court case Securities and Exchange Commission versus Obus wherein the U.S. Court of Appeals of the 2nd Circuit ruled that an individual who receives inside information may be liable for insider trading under the misappropriation theory.
- The SEC's proxy access rule is overturned. // Corporate Board;Sep/Oct2011, Vol. 32 Issue 190, p27
The article discusses a court case wherein the federal appellate court in Washington D.C. annulled the "proxy access" rule of Securities and Exchange Commission (SEC) on July 2011 because of deficiencies on company proxy materials for director elections which was identified by the court.
- Broad Reading of Rule 10b-5 Nixed. Maleske, Melissa // InsideCounsel;Jun2010, Vol. 21 Issue 222, p70
The article reports on the ruling by the U.S. First Circuit in the case Securities and Exchange Commission (SEC) v. Tambone rejecting a broad interpretation of SEC Rule 10b-5.
- SEC Files Fraud Charges Against L&L Energy, CEO. // Coal Age;Apr2014, Vol. 119 Issue 4, p16
The article reports on the civil fraud charges filed by the Securities and Exchange Commission (SEC) officials against the China-focused coal company L & L Energy Inc. and its chief executive officer (CEO) Dickson Lee for fraud charges.
- Who's Responsible? WARNER, MELANIE // Fortune;8/4/1997, Vol. 136 Issue 3, p238
Discusses how Jerome Dodson, portfolio manager of the Parnassus fund, will be going head-to-head with the US Securities and Exchange Commission (SEC) at a public hearing before an administrative law judge in a dispute over portfolio valuation. Background on Dodson; Problems between Parnassus...
- SEC charges Parnassus. // Pensions & Investments;6/9/1997, Vol. 25 Issue 12, p32
Reports that the Securities and Exchange Commission have filed charges against the president and two trustees of the Parnassus Fund. Nature of the charges filed against the trio; Response of president Jerome Dodson to the accusations against him.
- SEC's Declaration of Director Independence. Eppner, Gerald; Kanefsky, David // American Banker;7/10/2000, Vol. 165 Issue 130, p8
Focuses on the United States Securities & Exchange Commission's proposed amendments to the board composition rules under the Investment Company Act of 1940. Pending adoption of rules that will strengthen the independence of fund directors and enhance the effectiveness of board governance.
- Settle the score. // Missoula Independent;4/22/2010, Vol. 21 Issue 16, p10
The author comments on the move of the Securities and Exchange Commission (SEC) to sue investment banking firm Goldman Sachs for fraudulently misleading investors in Montana. The author believes that it is politically motivated because the three Democrats on the commission voted to pursue the...