Guggenheim unlawfully failed to disclose the conflict of interest created by the outside business activity of one of its senior executives. The SEC More Quotes by The SEC More Quotes From The SEC Without addressing the merits of petitioners' challenges to the rule or the pilot program, the Commission has determined to exercise that discretion to grant a stay, in part. Pending a decision by the court of appeals. The SEC business It is therefore stunning to learn that, at the time of filing of the instant motion, Musk had not sought pre-approval for a single one of the numerous tweets about Tesla he published in the months since the court-ordered pre-approval policy went into effect. The SEC top-news He just keeps pushing the envelope, in other similar situations, CEOs at this point... would have been terminated. The SEC top-news The Commission seeks Carter's testimony to inquire about, among other things, Carter's joint ventures with Iconix. The SEC entertainment Faulkner and his co-defendants duped hundreds of people out of millions of dollars by intentionally and repeatedly lying about several aspects of the investments. The SEC business We are concerned with your overall format and presentation of the non-GAAP measures and believe revisions to your future earnings releases and investor materials are appropriate. The SEC business Novartis promptly took remedial steps to improve its internal controls at Novartis China. The SEC company-news To most people, dark pools are a little bit of a mystery, and that's because they often function in great secrecy. Today's proposal seeks to shine a light into that darkness. The SEC company-news The shares were later dumped on the unsuspecting public after the stock price soared following fraudulent promotional campaigns. The SEC company-news Although Doddi did not trade on the information, in tipping Spivak, she conferred a gift upon a romantic partner. The SEC company-news To steal a line from Justice Scalia, this is pure applesauce. The SEC company-news To grant a stay now would thwart Congress’s goal of increasing capital formation opportunities. The SEC money If passed by the Senate and signed into law, I believe this bill would seriously impede the ability of the SEC to bring disclosure into the 21st Century. The SEC company-news We have a lot of work to do. The SEC money
