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» Barclays Bank Settles SEC Insider Trading Case Involving “Big ... Co-chair, ABA White Collar Securities Section ... have to log onto WESTLAW and either enter a user ID and password, or a credit card number. ... 2.
» Barclays Bank Settles SEC Insider Trading Case Involving “Big ... Barclays Bank Plc, et. al, Case No. 07 CV 4427 (S.D.N.Y. May 30, 2007). According to the SEC’s complaint, Barclays and Mr. Landzberg obtained and traded on ... 3.
» Barclays Bank Settles SEC Insider Trading Case Involving “Big ... Barclays Bank Plc, et. al, Case No. 07 CV 4427 (S.D.N.Y. May 30, 2007). According to the SEC’s complaint, Barclays and Mr. Landzberg obtained and traded on ... 4.
» Safe Harbor Rule 10b5-1 Trading Plans – A New Enforcement Target ... In that speech, Ms. Thomsen stated that the SEC is “looking at” trading conducted under Rule 10b5-1 Plans by company executives, ... 5.
» The SEC Should Return To Its Roots: Disclosure - SEC ACTIONS In part, it details the failure of the Division of Corporation Finance to complete a timely analysis of Bear Stearns’ then most recent 10-K filing. ... 6.
» SEC Modifies Its Emergency Short Sale Rules And Suggests They ... Get an e-mail notification every time we have some new content ... The SEC amended its emergency short sale rules in two orders entered on Sunday, ... 7.
» Tellabs: The Supreme Court Strikes A Balance Regarding ... Tellabs: The Supreme Court Strikes A Balance Regarding Requirements In Securities Damage Actions. Today, the Supreme Court resolved a ... 8.
» Safe Harbor Rule 10b5-1 Trading Plans – A New Enforcement Target ... Up Coming Securities Seminars. Seminars. Videos of Mr. Gorman's ... The SEC enacted Rule 10b5-1 in 2000 to permit an executive who has ... than $6 million under two Rule 10b5-1 Plans adopted on September 15 and June 15, ... 9.
- SEC ACTIONS He also agreed to pay a civil penalty of $75000 and to the entry of a five year officer director bar. SEC v. Donohoe, Civil Action No. ... 10.
» The Supreme Court’s Review Of A Section 36(b) Fee Suit - SEC ACTIONS Specifically, the High Court will consider what shareholders must established when bringing suit under Section 36(b) of the Investment Company Act claiming ... |
