Search for: "Securities and Exchange Commission v. Jones"
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19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
14 Nov 2021, 8:47 pm
Another issue is whether the Securities and Exchange Commission (“SEC”) will consider NFTs securities, and subject them to the extensive set of registration requirements under the Securities Act of 1933. [read post]
5 Mar 2012, 12:11 am
The first of these standards, enunciated in June 2011 by Southern District of New York Judge Barbara Jones in the SEC v. [read post]
7 Jun 2009, 9:32 am
• Are the Securities and Exchange Commission and the Financial Industry Regulatory Authority ever going to take actions against any of the big Wall Street banks and their management personnel for their roles in the sale of toxic products to retail investors? [read post]
15 Aug 2007, 11:38 am
Stoneridge Investment Partners v. [read post]
5 Jul 2018, 10:31 am
The Commission has charged Watkins with violations of the antifraud provisions of both the Securities Act and the Exchange Act arising from inducing clients to invest in purported waste-to-energy ventures but instead using the clients' funds for personal expenses. [read post]
11 Dec 2008, 5:41 pm
"With respect to new litigation," says litigation partner Keith Miller, a former Securities and Exchange Commission lawyer, "there's not a lot. [read post]
28 Feb 2007, 9:20 am
In SEC v. [read post]
9 Nov 2007, 6:45 am
The Securities and Exchange Commission appears poised to adopt a rule that would bar investors from filing proxy access proposals in 2008, a prospect that has alarmed some investors and Democratic lawmakers. [read post]
7 Dec 2009, 7:34 am
For the respondents, one of their amici: Professor Richard Pildes, New York University Law School (counsel for the amicus Former Chairmen of the Securities and Exchange Commission). [read post]
30 Mar 2010, 10:18 am
In Jones v. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
14 Feb 2023, 7:02 am
/UK sanctions against the Trickbot cybercrime group, confirmation that Twitter’s sale will not be investigated by the Committee on Foreign Investment in the United States (CFIUS), and the latest on Security and Exchange Commission (SEC) v. [read post]
5 Jun 2023, 9:30 pm
The law “subjects to the practically uncontrolled discretion of the Commission every issue or general sale of stocks, bonds, or securities hereafter to be made in Michigan. [read post]
23 Mar 2018, 9:47 am
In 2010, Dodd-Frank, the Obama-era financial reform law, delegated authority to the Securities and Exchange Commission (“SEC”) to propose a uniform fiduciary rule for retail investment accounts. [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]
11 Nov 2021, 2:07 pm
Claim handlers continue to wrestle with enduring long-tail Exchange Act claims, federal and state Securities Act claims, and shareholder derivative suits without respite. [read post]
16 Nov 2009, 4:00 am
Now that Jones v. [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
21 Feb 2018, 12:52 pm
Bobby Chesney explained a factual dispute related to the merits in Doe v. [read post]
