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Enforcement Case Shows SEC's Increased Focus on Internal Controls
2014-06-05 03:16:17| Jewelry - Topix.net
DGSE disclosed in April 2011 that it had a material weakness in its internal control related to account reconciliations associated with inventory, depository accounts, and intercompany accounts as of December 31, 2010 and that it had restated its financial statements for the quarters ended June 30 and September 30, 2010 in order to adjust the ... (more)
Tags: case
shows
focus
increased
Ft. Mitchell mayor settles SEC's insider trading claimFt. Mitchell...
2014-05-14 21:51:55| Appliances - Topix.net
Ft. Mitchell mayor settles SEC's insider trading claim Mayor agrees to pay more than $117,000 in both profits and a penalty.
Tags: trading
mayor
insider
mitchell
Real Estate Has Benefited Most From SEC's General Solicitation Rule Change
2014-04-16 07:54:17| Real Estate - Topix.net
A bit over six months in, the real-estate industry has benefited more than any other industry from a historic law change that fundamentally altered the way companies are allowed to raise money.
Tags: real
general
change
estate
Illustrated Code Catastrophes: Secs. 300.15, 410.23, 394.10, 394.12(5)
2013-05-16 03:06:00| Electrical Construction & Maintenance
By Russ LeBlanc, NEC Consultant More Code catastrophes uncovered and corrected in these faulty installations read more
Tags: code
illustrated
secs
catastrophes
API Argues Against SEC's Anti-Competitive Regulations
2013-03-28 05:00:34| oilandgasonline News Articles
The American Petroleum Institute (API) and a coalition of concerned business groups presented oral arguments today in the D.C. Circuit Court of Appeals in API’s lawsuit challenging the U.S. Securities and Exchange Commission’s implementation of Section 1504 of the Dodd-Frank Act.
Tags: regulations
api
argues
secs