Public Companies and Securities

Subscribe to Public Companies and Securities via RSS

Unregistered Finder Settles with the SEC, Agrees to Pay Millions

By David Jenson on 05/16/2014

…
Continue Reading Unregistered Finder Settles with the SEC, Agrees to Pay Millions

NAM’s Next Move in Conflict Minerals Case

By Steve Quinlivan on 05/15/2014

…
Continue Reading NAM’s Next Move in Conflict Minerals Case

NAM Motion for Emergency Stay Denied in Conflict Minerals Case

By Steve Quinlivan on 05/14/2014

…
Continue Reading NAM Motion for Emergency Stay Denied in Conflict Minerals Case

NAM Replies to SEC in Conflict Minerals Emergency Stay

By Steve Quinlivan on 05/13/2014

…
Continue Reading NAM Replies to SEC in Conflict Minerals Emergency Stay

Whistleblower Doesn’t Have to Report to SEC for Dodd-Frank Protection

By Steve Quinlivan on 05/12/2014

…
Continue Reading Whistleblower Doesn’t Have to Report to SEC for Dodd-Frank Protection

Second Conflict Minerals Report Filed

By Steve Quinlivan on 05/12/2014

…
Continue Reading Second Conflict Minerals Report Filed

SEC Approves Additional Changes to FINRA Corporate Financing Rule

By Steve Quinlivan on 05/12/2014

…
Continue Reading SEC Approves Additional Changes to FINRA Corporate Financing Rule

SEC Response to NAM Motion for Stay of Conflict Minerals Rules

By Steve Quinlivan on 05/09/2014

…
Continue Reading SEC Response to NAM Motion for Stay of Conflict Minerals Rules

Court Schedules Briefing in Conflict Minerals Emergency Stay Motion

By Steve Quinlivan on 05/07/2014

…
Continue Reading Court Schedules Briefing in Conflict Minerals Emergency Stay Motion

NAM Files Court Motion for Stay of Conflict Minerals Rules

By Steve Quinlivan on 05/05/2014

…
Continue Reading NAM Files Court Motion for Stay of Conflict Minerals Rules