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Falcone Rejects an Offer by SEC
Hedge-fund manager rejects SEC settlement offer that would have banned him from securities industry.
Falcone’s Harbinger Capital Gets SEC ‘Wells Notice’
Harbinger Capital discloses “Wells Notices” from the staff of the SEC.
Standard & Poor’s has argued SEC should drop case
S&P argues to SEC why agency should not commence enforcement proceedings related to ratings of subprime mortgage-related securities.
SEC May Recommend Legal Action Against S&P
McGraw-Hill Cos., which owns S&P, says it received Wells Notice from SEC’ last week.
Mudd Wells Call Hits 180-Day Deadline Under Dodd-Frank – Compliance Week
March 2011 Wells call to former CEO of Fannie Mae may be first case to come to a head under deadline set forth in Section 929U of Dodd-Frank.
Moody’s Discloses Receipt of Wells Notice from SEC
Wells notice connected to registration as a nationally recognized statistical rating organization.
SEC Sends Wells Notices to First Horizon National Subsidiaries
SEC issues Wells notice to two subsidiaries and an executive of First Horizon National Corporation.
Beazer Homes Discloses Wells Notice to CEO; SEC May Pursue “Clawback”
Beazer Homes files Form 8-K disclosing Wells Notice to CEO.
ICAP Discloses Receipt of Wells Notice by Subsidiary
SEC staff recommending enforcement action related to the market in certain fixed income securities.
PCS Edventures! Discloses Receipt of Wells Notices from SEC
Company and several executives receive Wells Notices.