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1934 Act IndexEffective date of this section and rules and regulations .... Liability for trading in securities while in possession of material... Liability for trading ...
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Email Alert Archivereverse break-up fee; Sponsors assume contractual liability in the event the deal doesn't close because of ... See SEC Enforcement. Recent notable deals ...
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SEC Release 33-8176Sec. 244.100 General rules regarding disclosure of non-GAAP financial measures. 244.101 Definitions. 244.102 No effect on antifraud liability. ...
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SEC Release 33-7607Table 1: Collections of Information under the Securities Act and Exchange Act ... Any party that the SEC would require today to file a Schedule 13E-4 or ...
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SEC Release 34-42266We addressed concerns about liability by modifying our initial proposals from ...... A copy of this speech is available on the SEC's website at www.sec.gov. ...
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SEC Release 34-48626Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. ...
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SEC Release 33-7375242.104(i) and the amendments to Sec. 240.17a-2 are effective on April 1, ...... of the Small Business Regulatory Enforcement Fairness Act of 1996, Pub. ...
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SEC Release 33-809880 In addition, in connection with each SEC engagement, the auditor should discuss with .... A liability for the expected cost of warranty-related claims is ...
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SEC Release IA-2204The Commission submitted these new collections to the Office of Management and Budget ..... 7To date, we have brought 10 enforcement actions. See SEC v. ...
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SEC Release 33-8879The final amendments contain "collection of information" requirements ...... 58 The press release announcing the SEC-CESR work plan, and the text of the ...
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SEC Release 33-8220The amendments described in this document contain "collection of ..... require additional compensation or increased liability insurance coverage due to the ...
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SEC Release 33-7881Finally, if an issuer failed to comply with Regulation FD, it would be subject to an SEC enforcement action alleging violations of Section 13(a) or 15(d) of ...
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No-Act: Motorola 1.07.08Accordingly, this letter is being filed with the SEC, pursuant to Rule ... it will not recommend enforcement action to the SEC if Motorola omits the same ...
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SEC Release 33-7645The collection of information in Rule 701 will be required in order for companies ... These transactions are not exempt from the antifraud, civil liability, ...
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SEC Release 33-8154The current requirements of the AICPA's SEC Practice Section ("SECPS") call for ..... For example, some limited liability companies and limited partnerships ...
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SEC Release 34-35833Enforcement proceedings initiated by the Commission and review of ..... Rule 612 requires that notice of a proposed plan be published in the SEC News Digest ...
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583 F.2d 132516 See, e. g., Note, The Scienter Requirement in SEC Injunctive Enforcement of Section 10(b) After Ernst & Ernst v. Hochfelder, 77 Colum.L.Rev. ...
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958 F.Supp. 846Blyth, Eastman Dillon & Co., the Second Circuit considered the issue in the context of a private right of action, rather than an SEC enforcement action, ...
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SAB 103 Topic 13SEC Staff Accounting Bulletin:Codification of Staff Accounting Bulletins ..... with an appropriate liability for probable warranty obligations. Question 4 ...
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