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46 results for: capital markets
December 18, 2024

SEC Charges Retailer with Failing to Disclose Aircraft Perks

By David Bell,Ran Ben-Tzur,Amanda Rose,Michael Knobler,Elizabeth Gartland,Merritt Steele +3more...
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On December 17, the U.S. Securities and Exchange Commission announced it settled charges against fashion retailer Express, Inc. for...
December 18, 2024

SEC Charges Retailer with Failing to Disclose Aircraft Perks

By David Bell,Ran Ben-Tzur,Amanda Rose,Michael Knobler,Elizabeth Gartland,Merritt Steele +3 more...
Show Less
On December 17, the U.S. Securities and Exchange Commission announced it settled charges against fashion retailer Express, Inc. for...
September 26, 2024

SEC Enforcement Sweep for Late Sections 13 and 16 Reports

By Ran Ben-Tzur,Amanda Rose,David Bell,Merritt Steele +1more...
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On September 25, the Securities and Exchange Commission (SEC) announced that it had charged 23 entities and individuals for failure to...
September 26, 2024

SEC Enforcement Sweep for Late Sections 13 and 16 Reports

By Ran Ben-Tzur,Amanda Rose,David Bell,Merritt Steele +1 more...
Show Less
On September 25, the Securities and Exchange Commission (SEC) announced that it had charged 23 entities and individuals for failure to...
September 25, 2024

Form 4 Code J Transactions Under Scrutiny

By Merritt Steele
The Harvard Business Law Review recently published an article entitled “Insider Trading by Other Means” by an influential research group,...
September 25, 2024

Form 4 Code J Transactions Under Scrutiny

By Merritt Steele
The Harvard Business Law Review recently published an article entitled “Insider Trading by Other Means” by an influential research group,...
September 23, 2024

CEO Ousters Hit Record Numbers

By Merritt Steele
According to research firm Exechange, 74 chief executive officers have been fired or forced out this year, which is the highest number...
September 23, 2024

CEO Ousters Hit Record Numbers

By Merritt Steele
According to research firm Exechange, 74 chief executive officers have been fired or forced out this year, which is the highest number...