Search for: "Financial Planning Association, Petitioner v. Securities and Exchange Commission, Respondent"
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3 Oct 2010, 5:00 am
Siracusano (09-1156)(Argument not yet scheduled) Background: Respondents filed suit under § 10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b-5, alleging that petitioners committed securities fraud by failing to disclose "adverse event" reports-i.e., reports by users of a drug that they experienced an adverse event after using the drug. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
25 Jun 2014, 7:35 pm
Securities and Exchange Commission has not advised us of its views on these matters, and we believe those views may well be relevant. [read post]
30 Jan 2024, 9:02 pm
”[2] In that same policy, the Commission articulated its belief “that a refusal to admit the allegations is equivalent to a denial, unless the defendant or respondent states that he neither admits nor denies the allegations. [read post]
30 Oct 2013, 8:00 am
Importantly, SOX targets the firms subject to disclosure requirements under the regulatory authority of the Securities and Exchange Commission (“SEC”). [read post]
18 Jun 2009, 5:19 pm
Brief amicus curiae of Association of National Advertisers, Inc. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
13 Dec 2013, 10:52 am
” The Court chose to bypass a second question about the effect on the fiduciary duty of statements that a financial institution had made in filings with the Securities and Exchange Commission. [read post]
24 Feb 2022, 9:03 pm
” In a working paper for the National Bureau of Economic Research, Oliver Binz, professor at INSEAD, and John Graham, research associate at the Duke University Fuqua School of Business, argued that the Securities Exchange Act of 1934, which mandates financial statement disclosure for public companies, has resulted in more informative earnings disclosures. [read post]
11 Oct 2023, 11:17 am
Truck Insurance Exchange was the sole objector to the plan. [read post]
5 Jul 2018, 4:15 am
The Center for Public Integrity tracks financial-disclosure forms for the nominees on the president’s list. [read post]
13 Jun 2013, 7:05 pm
Securities and Exchange Commission 12-1118Issue: Whether, to satisfy the “substantial assistance” requirement of Section 20(e) of the Securities Exchange Act, which authorizes the Securities and Exchange Commission to bring civil aiding-and-abetting claims, the SEC must allege and prove that the defendant’s conduct was a proximate cause of the primary violation. [read post]
21 Jan 2021, 12:54 pm
American Medical Association v. [read post]
22 May 2007, 2:29 pm
Rasmussen, "The Story of Case v. [read post]
25 Feb 2010, 10:57 am
The SPCC plan did not discuss appropriate containment or diversionary structures and equipment, had inadequate or no prediction of equipment failure which could result in discharges and inadequate or no discussion of oil production facilities. [read post]
11 Oct 2009, 3:47 pm
Finally it will review the most recent legislative efforts and judicial litigation both in the U.S. and in other countries.The greatest benefits from the topics covered will be to students who plan to work for major law firms with international clients, multilateral organizations, multinational corporations and international NGOs. [read post]
