Documents tagged "Exchange"
Found 6 documents with this tag
EFTA00008920-p-10.jpg
The image is a photograph of an official document with a table containing questions and answers related to a legal proceeding or investigation. The document appears to be a transcript of testimony given by a person named "Randall A. Cunningham" to the Securities and Exchange Commission (SEC) on September 15, 2004. The handwriting is visible, suggesting that the responses were written out during the interview. There are lines drawn through certain text, indicating that it has been redacted or removed for confidentiality purposes.
DOJ-OGR-00002518.jpg
The image appears to be a screenshot of an official document with a focus on legal or regulatory information. The document contains a section titled "Rule 17a-5(d)" and includes the date December 28, 1934. There is visible text that discusses certain aspects related to books, records, and other accounting practices required for registered broker-dealers under the Securities Exchange Act of 1934. The image also shows a page number ("Page 5") at the bottom left corner.
HOUSE_OVERSIGHT_027068.txt
The Related Companies is the initial bidder for the Palm House Hotel, which failed as a condo-hotel project. The stalking horse bidder, RREF II PALM HOUSE LLC, led by Related Companies Managing Principal Justin Metz, is offering $32 million for the property in a bankruptcy auction scheduled for next month. Bids at the auction will start at $32.5 million. The property faces allegations of fraud by the Securities and Exchange Commission and EB-5 investors. Given expects the property to sell for up to $40 million, and it could be the last opportunity for a developer to own a hotel in Palm Beach.
HOUSE_OVERSIGHT_022494.txt
The Resource Guide to the U.S. Foreign Corrupt Practices Act provides information for businesses and individuals about the FCPA and its enforcement. The guide is a non-binding, informal summary prepared by staff from the Criminal Division of the U.S. Department of Justice and the Enforcement Division of the U.S. Securities and Exchange Commission. It does not create any rights or substitute for legal counsel on specific issues related to the FCPA. Companies or individuals seeking an opinion concerning specific prospective conduct can use the U.S. Department of Justice's opinion procedure. The guide is available online at justice.gov/criminal/fraud/fcpa and sec.gov/spotlight/fcpa.
HOUSE_OVERSIGHT_019856.txt
The U.S. Supreme Court has lowered the standard for proving insider trading involving tipping family or friends in the case of Salman v. U.S. The court held that a gift of inside information to a family or friend is sufficient to prove insider trading tipping liability, even if there is no valuable quid pro quo exchange. This narrows the previous requirement under Newman that required proof of pecuniary benefit or similarly valuable personal benefit. It will likely embolden the government to bring more similar cases as it becomes easier for them to prove a "gift" to a "friend" than a financial gain.
HOUSE_OVERSIGHT_013275.txt
This document provides an overview of notable deaths that occurred in 2013. The individuals mentioned include Margaret Thatcher, Nelson Mandela, Muriel Siebert, Edward Koch, Hugo Chavez, Marian McPartland, Lou Reed, Stan Musial, Ken Norton, Fred Turner, Martin Zweig, Alfred Feld, and Patti Page. This summary includes key people, their accomplishments or notable roles, and the month they passed away.