Gary Aguirre, a former investigator for the U.S. Securities and Exchange Commission, was the star witness.
Four days later, Faneuil was interviewed over the telephone by the U.S. Securities and Exchange Commission.
The company is still the subject of a probe by the U.S. Securities and Exchange Commission.
The data come from the Form 13F filings with the U.S. Securities and Exchange Commission.
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Kogan , violated the stiff disclosure rules implemented by the U.S. Securities and Exchange Commission.
There is, however, no indication the U.S. Securities and Exchange Commission is investigating the company now.
Currently, banks may only have 500 individual shareholders without registering with the U.S. Securities and Exchange Commission.
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Before founding Kalorama Partners, Pitt served as the 26th chairman of the U.S. Securities and Exchange Commission.
That's according to a statement of intentions made by his firm to the U.S. Securities and Exchange Commission.
Investment companies are subject to stringent federal laws and oversight by the U.S. Securities and Exchange Commission (SEC).
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ADRs are denominated in dollars and subject to the regulations of the U.S. Securities and Exchange Commission (SEC).
Nine states, the Federal Energy Regulatory Commission and the U.S. Securities and Exchange Commission are reviewing the deal.
Krispy Kreme has since worked to bring its financials up to date with the U.S. Securities and Exchange Commission.
Wall Street will be re-regulated by the U.S. Securities and Exchange Commission, the Treasury and the Federal Reserve Board.
Information on the five busiest directors was crosschecked against corporate proxies filed with the U.S. Securities and Exchange Commission.
In a filing to the U.S. Securities and Exchange Commission, Infosys denied her allegations of sexual harassment and wrongful dismissal.
The U.S. Securities and Exchange Commission is expected to vote on those rules concerning conflict minerals on August 22.
The U.S. Securities and Exchange Commission is charged with regulating the markets and protecting investors by upholding federal securities laws.
Just weeks before, the U.S. Securities and Exchange Commission reversed a lifetime ban from the securities industry the NASD had slapped on him.
But an NYSE insider notes that the U.S. Securities and Exchange Commission bars one person from owning more than 20% of an exchange.
In a filing to the U.S. Securities and Exchange Commission, Infosys denied the woman's allegations of sexual harassment and wrongful dismissal.
Last Thursday the U.S. Securities and Exchange commission filed charges against Ballas, an independent contractor with Global Arena Capital Corp.
Long late to the game, the U.S. Securities and Exchange Commission (SEC) recently issued an alert on the custody issue.
But the Financial Services Authority, the British version of the U.S. Securities and Exchange Commission, has been warning consumers about Oxbridge since last fall.
Facebook could file documents with the U.S. Securities and Exchange Commission as early as Wednesday, said one person familiar with the matter.
The U.S. Securities and Exchange Commission has reportedly subpoenaed documents from Amerco.
The U.S. Securities and Exchange Commission is looking into the Bristol, Tenn.
The Merc will need clearance for the merger from the U.S. Securities and Exchange Commission, the Commodities Futures Trading Commission and the U.S. Justice Department.
Late Monday, the bank revealed another big loss in its mortgage investments via a filing with the U.S. Securities and Exchange Commission.
The company is a U.S. Securities and Exchange Commission Registered Investment Advisor.
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