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Documents tagged with securities and exchange commission

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S.E.C. Inspector General's Semi-Annual Report to Congress

H. David Kotz, the S.E.C.'s Inspector General, finds numerous cases of misconduct among S.E.C. officials in his semiannual report to Congress.
  • Pdf_16x16 168 pages
  • DealBook published this about 6 hours ago
  • 270 reads
  • 0 comments
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Securities and Exchange Commission of Nigeria - Review of Code Corporate Governance

Revised version of the Review of Code of Corporate Governance published by the Securities and Exchange Commission of Nigeria. This version was uploaded to the SEC site (www.sec.gov.ng) on October 9...
  • Pdf_16x16 36 pages
  • Customs Street Advisors published this 10/26/2009
  • 195 reads
  • 0 comments
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Insider Trading Lawsuit in Dell-Perot Deal

From DealBook: S.E.C. lawsuit against an employee of a firm linked to Perot Systems, alleging an $8.6 million insider-trading scheme related to the company's sale to Dell.
  • Pdf_16x16 9 pages
  • DealBook published this 09/23/2009
  • 833 reads
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Memorandum of Mark Cuban in S.E.C. Case

From DealBook: Memorandum of support by Mark Cuban in his insider trading case brought by the Securities and Exchange Commission.
  • Pdf_16x16 28 pages
  • DealBook published this 09/23/2009
  • 1,740 reads
  • 0 comments
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Joint Case Management Plan

From DealBook: Joint case management plan filed by Bank of America and the Securities and Exchange Commission indicating the two parties are headed for trial on Feb. 1.
  • Word_16x16 3 pages
  • DealBook published this 09/21/2009
  • 670 reads
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Judge's Rejection of S.E.C.-Bank of America Settlement

From DealBook: Judge Jed Rakoff's decision rejecting a proposed settlement between the S.E.C. and Bank of America over bonuses paid out to Merrill Lynch employees.
  • Pdf_16x16 13 pages
  • DealBook published this 09/14/2009
  • 6,923 reads
  • 1 comment
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Financial Reporting on the Internet by Quoted Companies in Nigeria by Rafiu Oyesola Salawu

Study on the use of corporate websites to distribute financial reports among companies on the Nigerian Stock Exchange.
  • Pdf_16x16 8 pages
  • Customs Street Advisors published this 09/05/2009
  • 274 reads
  • 0 comments
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Private Securities Litigation Reform Act of 1995

Private Securities Litigation Reform Act of 1995.
  • Pdf_16x16 10 pages
  • Customs Street Advisors published this 09/04/2009
  • 112 reads
  • 0 comments
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Report of the Study on the Level and Age Analysis of Unclaimed Dividends in the Nigerian Capital Mar

Report on the study of unclaimed dividends in Nigeria.
  • Pdf_16x16 5 pages
  • Customs Street Advisors published this 07/16/2009
  • 223 reads
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FINRA - Rule 2711 on Research Analysts and Research Reports - Managing Conflicts of Interest.

Rule 2711 of the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD) on the analyst disclosure and management of conflicts of interest in...
  • Pdf_16x16 9 pages
  • Customs Street Advisors published this 07/13/2009
  • 701 reads
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Missing the Mark - NASD Rule 2711 and NYSE Rule 472 Mistakenly Emphasize Disclosure Rather Than Amen

Critical essay by James J. Barney on the focus on disclosure of potential conflicts of interest rather than fraud in NASD's (now FINRA) Rule 2711 and NYSE's Rule 472.
  • Pdf_16x16 40 pages
  • Customs Street Advisors published this 07/13/2009
  • 619 reads
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Skye Bank Analyst Report - Prepared by RTC Research - May 2009.

Research report prepared on Skye Bank, a leading Nigerian bank, by RTC Strategy and Advisory. To learn more about Skye Bank, please visit: http://www.skyebankng.com/ .
  • Pdf_16x16 11 pages
  • Customs Street Advisors published this 06/26/2009
  • 492 reads
  • 0 comments
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Skye Bank Analyst Report - Prepared by RTC Research - January 2009.

Research report prepared on Skye Bank, a leading Nigerian bank, by RTC Strategy and Advisory. To learn more about Skye Bank, please visit: http://www.skyebankng.com/ .
  • Pdf_16x16 8 pages
  • Customs Street Advisors published this 06/26/2009
  • 340 reads
  • 0 comments
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Spring Bank Acquisition Illegal - Ministerial Report - By Tayo Odunlami - The News Magazine - June 1

Report on the possible irregularities in the November 2006 acquisition of Spring Bank by Bank PHB. To read a response to the allegations, please see the reply of Fidelis Oditah, counsel to Bank P...
  • Pdf_16x16 3 pages
  • Customs Street Advisors published this 06/25/2009
  • 250 reads
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A Veritable Spring for Spring Bank - By Tayo Odunlami - The News Magazine - December 22, 2008.

Report on the November 2008 acquisition of Spring Bank by Bank PHB.
  • Pdf_16x16 3 pages
  • Customs Street Advisors published this 06/25/2009
  • 192 reads
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The Concept of Book Building - An Introduction - By Lead Capital Nigeria.

A concise introduction to book-building and the new SEC Rule 78(c) by Lead Capital, one of Nigeria's leading investment houses. The report also examines potential problems and issues that may aris...
  • Pdf_16x16 3 pages
  • Customs Street Advisors published this 05/31/2009
  • 451 reads
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Underwriting, Placements and the Art of Investor Relations - Presentation by Sherilyn Foong, Allianc

Presentation on the role of investor relations during the securities marketing process.
  • Pdf_16x16 25 pages
  • Customs Street Advisors published this 05/30/2009
  • 436 reads
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Securities and Exchange Commission Nigeria's Proposed New Rules on Book Building

Elaboration on the new Rule 78(c) introduced by Nigeria's Securities and Exchange Commission.
  • Pdf_16x16 5 pages
  • Customs Street Advisors published this 05/30/2009
  • 980 reads
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GAO Report - SEC Enforcement Actions and Efficiency

On March 31, 2009 the GAO issued its report concerning Securities and Exchange Commission, recommending enhanced communication and resource utilization in the SEC's Enforcement Division.
  • Pdf_16x16 64 pages
  • Doyle Lowther LLP published this 05/26/2009
  • 313 reads
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Manipulation and the Allocational Role of Prices by Itay Goldstein of the Univ of Penn and Alexander

In this paper by Itay Goldstein and Alexander Guembel draw attention to a number of the limitations of the commonly held view that prices in secondary financial markets play an important allocationa...
  • Pdf_16x16 32 pages
  • Customs Street Advisors published this 04/28/2009
  • 148 reads
  • 0 comments
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