Search for: "General Protective Committee v. SEC"
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21 May 2024, 9:01 pm
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
17 May 2024, 4:43 am
Fortunately, the UK Government has already put forward a roadmap for the HCCH 2019 Judgments Convention in its responses to the formal consultation carried out from 15 December 2022 to 9 February 2023[29] as well as the explanatory memorandum to the Draft Recognition and Enforcement of Judgments Regulations 2024.[30] Generally speaking, the UK Government wants to implement the HCCH Convention for all jurisdictions of the United Kingdom without raising any reservation limiting the… [read post]
15 May 2024, 9:01 pm
Picture the following scenario: An issuer’s audit committee solicits competitive bids from audit firms for the company’s independent audit work. [read post]
15 May 2024, 1:19 pm
APRA Sec. 13(c)(1)(B)(vi)(IV)&(V). [read post]
10 May 2024, 6:45 am
See NCAA v. [read post]
4 May 2024, 8:31 pm
Seilkop v. [read post]
19 Apr 2024, 9:27 am
For more information on SEC v. [read post]
6 Mar 2024, 9:01 pm
Audit committees will be required to determine what it means to have had a “severe weather event and other natural condition. [read post]
2 Feb 2024, 6:51 am
Supreme Court’s landmark decision in Trump v. [read post]
23 Jan 2024, 9:01 pm
The drug price-fixing conspiracy – which became the focus of investigations by the Department of Justice, 49 state attorney generals, and Congress– has embroiled the generic pharmaceutical industry. [read post]
22 Jan 2024, 9:01 pm
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
18 Jan 2024, 11:11 pm
V. [read post]
10 Jan 2024, 9:01 pm
See, e.g., SEC v. [read post]
4 Jan 2024, 12:50 pm
SEC. [read post]
5 Dec 2023, 9:05 pm
., LLC v. [read post]
31 Oct 2023, 6:26 am
Sec. 2. [read post]
20 Oct 2023, 2:40 pm
As discussed in our July 2021 Update, the New Marketing Rules permit the use of hypothetical performance metrics if the investment adviser follows certain requirements aimed at protecting investors. [read post]
4 Oct 2023, 12:46 pm
On October 3, the second morning of its new term, the Supreme Court of the United States (SCOTUS) heard oral arguments in the case of Consumer Financial Protection Bureau v. [read post]
28 Sep 2023, 6:56 am
ClientEarth v Shell’s Board of Directors Overseas, we saw a derivative action commenced in February 2023 by ClientEarth against Shell’s board of directors in the UK. [read post]
26 Jul 2023, 9:01 pm
A flexible, principles-based approach that allows for disclosures tailored to the issuer making them would be a better way to protect investors. [read post]
