Search for: "Fields v. U.S. Securities and Exchange Commission"
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15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
18 Jun 2012, 7:19 am
The change, approved by the Securities and Exchange Commission, will soon expand FINRA’s existing prohibition of class-action arbitrations to bar collective actions as well. [read post]
8 Jul 2008, 8:53 am
For additional information contact [www.gallerywatch.com]
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07/07/2008
Memorandum of Understanding Between the Securities and Exchange Commission and the Board of Governors of the Federal Reserve System (PDF 37.4 KB)Memorandum Announces an Agreement to Increase Information Sharing in Matters Pertaining to the Gramm-Leach-Bliley Act and for Other Purposes07/07/2008
Memorandum to EPA… [read post]
22 Oct 2008, 12:15 pm
" In the field of securities regulation, it is hard to imagine illegal conduct that wouldn't potentially have that affect. [read post]
3 Apr 2017, 3:14 pm
Prosecutor Army Colonel Robert Swann jumps to it, continuing his direct examination of an anonymous U.S. army captain from yesterday. [read post]
18 Dec 2013, 3:05 pm
The Securities and Exchange Commission regulates investment advisers under the Investment Advisers Act of 1940 (the “Act”). [read post]
10 Feb 2018, 5:26 am
Robert Chesney and Steve Vladeck shared this week’s National Security Law Podcast, in which the two discuss, among other things, President Trump’s treason remarks, military commissions, and the Doe v. [read post]
19 Jul 2023, 9:05 pm
The Securities and Exchange Commission regulations on climate disclosure, first proposed in March 2022 and likely to be issued in final form in October 2023,[1] have drawn considerable controversy and face an uncertain fate in the inevitable litigation.[2] Much less attention has gone to two bills that are moving toward adoption in California. [read post]
28 Feb 2018, 10:58 am
U.S. [read post]
20 May 2022, 11:01 am
Khan, joined by Securities and Exchange Commission (SEC) Chair Gary Gensler, made the regular trip to Congress to ask for a bigger budget to support more hires. [read post]
21 Dec 2022, 6:03 am
Title V of Division AA of the FY23 appropriations bill would provide for a registration exemption for small business mergers and acquisitions brokers by amending Exchange Act Section 15(b) to add a new subsection (13). [read post]
23 Mar 2012, 9:14 am
Department of State, the Federal Communications Commission, the U.S. [read post]
9 Nov 2014, 6:46 pm
U.S., 488 U.S. 361 (1988)· Whitman v. [read post]
27 Mar 2012, 11:39 am
U.S. v. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
23 Jul 2015, 6:28 pm
The Securities and Exchange Commission (SEC) enjoys a pronounced home-field advantage when trying enforcement actions in its own administrative courts as opposed to federal district courts. [read post]
16 Apr 2007, 7:00 am
Securities & Exchange Commission Irwin Stelzer, Senior Fellow and Director of Economic Policy Studies, Hudson Institute 3:30 - 4:45 p.m. [read post]
17 Feb 2017, 6:56 am
--Notes and Questions --U.S. v. [read post]
8 Jan 2021, 5:52 am
Securities and Exchange Commission, on Tuesday, January 5, 2021 Tags: Capital formation, Direct listings, Due diligence, Institutional Investors, Investor protection, IPOs, Listing standards, NYSE, Retail investors, SEC, SEC rulemaking, Securities regulation, Underwriting Say-on-Pay Votes and Compensation Disclosures Posted by Brian V. [read post]
