Search for: "Securities and Exchange Commission v. Jacobson" Results 1 - 20 of 46
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19 Dec 2018, 6:01 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
14 Jan 2019, 5:50 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
28 Jun 2011, 11:47 am by Jenna Greene
–based securities laws violations, Section 21 of the Exchange Act provides proper authority for the relief sought by the commission,” she held. [read post]
9 Sep 2015, 6:08 am
Circuit confirmed its earlier ruling striking down part of the Securities and Exchange Commission’s (“SEC”) Conflict Minerals Rule (the “Rule”) as unconstitutional. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Wednesday, March 11, 2020 Tags: Conflicts of interest, Institutional Investors, Investment advisers, Proxy season, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting, Universal proxy ballots The Toshiba Securities Litigation: Perils For Foreign Issuers Posted by Roger Cooper, Jared Gerber, and Les Silverman, Cleary… [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
23 Nov 2018, 6:07 am
Securities and Exchange Commission, on Friday, November 16, 2018 Tags: Disclosure, Fund managers, Glass Lewis, Index funds, Institutional Investors, ISS, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting The Perils of Dell’s Low-Voting Stock Posted by Lucian A. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Monday, October 31, 2022 Tags: Investment advisers, Investment Advisers Act, legal framework, regulation, SEC, SEC enforcement Lessons from Twitter v. [read post]
16 Aug 2019, 6:00 am
Securities and Exchange Commission, on Friday, August 9, 2019 Tags: Capital formation, Innovation, Investor protection, IPOs, Public firms, SEC, SEC rulemaking, Securities enforcement, Securities regulation Finalized Volcker Rule Amendments Posted by V. [read post]
24 Jan 2020, 1:00 am by Kevin LaCroix
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
10 Jan 2020, 6:10 am
Securities and Exchange Commission, on Thursday, January 9, 2020 Tags: Disclosure, Equity capital, Equity securities, Financial technology, Regulation NMS, SEC, Securities regulation [read post]