Search for: "Fields v. U.S. Securities and Exchange Commission"
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28 Jun 2022, 6:07 am
In Rodriguez v. [read post]
1 Apr 2022, 6:01 am
Securities and Exchange Commission, on Thursday, March 31, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles [read post]
7 Dec 2006, 10:39 am
When the case was pending in the Second Circuit Court, the Justice Department's Antitrust Division opposed immunity for aftermarket trading in newly issued stocks, while the Securities and Exchange Commission favored immunity. [read post]
7 Aug 2015, 6:00 am
[More…] Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act by the Securities and Exchange Commission The Commission has taken action to address virtually all of the mandatory rulemaking provisions of the Dodd-Frank Act. [read post]
7 Dec 2006, 10:39 am
When the case was pending in the Second Circuit Court, the Justice Department's Antitrust Division opposed immunity for aftermarket trading in newly issued stocks, while the Securities and Exchange Commission favored immunity. [read post]
20 Aug 2008, 1:41 pm
Although defendants had not been shown to be participants in those proceedings, we concluded that a conflict existed because, much like agency quasi-judicial proceedings, see Security and Exchange Commission v. [read post]
5 Aug 2009, 4:00 am
U.S. v. [read post]
15 Jul 2015, 8:00 pm
Additionally, these same powers will cooperate with Iran “in the field of peaceful uses of nuclear energy” and “mutually determined civil nuclear cooperation projects. [read post]
22 Mar 2019, 6:27 am
Hinman, U.S. [read post]
18 Oct 2018, 9:30 pm
Securities and Exchange Commission (SEC) concluded that two national stock exchanges—the New York Stock Exchange and NASDAQ—failed to demonstrate that the fees they charged for access to market data complied with the Securities Exchange Act of 1934. [read post]
29 Dec 2006, 8:59 am
Transnationally, the U.S. [read post]
25 Aug 2011, 6:31 am
Securities and Exchange Commission (“SEC”) and the United States District Court. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
30 Jun 2017, 6:00 am
Securities and Exchange Commission, according to people familiar with the matter.If ultimately nominated by U.S. [read post]
3 Feb 2020, 12:42 pm
The committee will hear testimony from Charles Romine, the director of the information technology laboratory at the Commerce Department; John Wagner, the deputy executive assistant commissioner for field operations at U.S. [read post]
29 Nov 2016, 12:56 pm
The U.S. [read post]
19 Feb 2016, 6:00 am
Securities and Exchange Commission don’t deny making hundreds of thousands of dollars on a tip about a billion-dollar deal. [read post]
18 Aug 2020, 9:08 am
The Securities and Exchange Commission (“SEC”) investigated the defendant for fraudulent investment activities and obtained an order of disgorgement for more than $4 million dollars based on illegally obtained profits. [read post]
6 Dec 2017, 1:19 pm
Time agreed to pay $25,000, $12,500 in advance and an additional $12,500 at publication, in exchange for the right to excerpt 7,500 words from Mr. [read post]
11 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) approved bitcoin exchange-traded funds (ETFs), allowing investors to buy and sell bitcoin just like stocks and other financial instruments. [read post]
