SEC Investigations. SEC Need Not Notify Target of Third-Party Subpoenas

SEC Investigations and Securities Class Actions: An Empirical Comparison

We compare investigations by the SEC with securities fraud class action filings involving public companies. Using actions with both an SEC investigation and a class action as our baseline, we compare SEC‐only investigations with class action‐only lawsuits. We find evidence that the stock market reacts more negatively to the class actions relative to SEC investigations. We also find that institu...

Sec Sect " ' - -

Level of sec mRNA

expression at the level of sec mRNA. staphylococcal enterotoxin C gene (sec) High sodium chloride concentrations inhibit

SEC Biology 09 Ls

To notify or not to notify.

The main trigger to effect insurance cover of a claim made against the company or firm is proper notification of circumstances to insurers. Once again, many of you reading this article will not consider that there is much of an issue here. However, place yourself in the shoes of the small businessman or woman. A director is aware of an issue, which may give rise to a claim. He is caught in a di...