Search for: "Securities and Exchange Commission v. Sample"
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16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
26 Sep 2017, 9:01 pm
The Commission offers sample questions as well including self-evaluation of the investor’s expertise. [read post]
27 Jul 2022, 9:01 pm
Although unclear, it is possible the SEC may have selected these nine as a representative sample of the types of tokens that could be securities: AMP, a staking token used to guarantee retail payments on the Flexa network. [read post]
2 Sep 2014, 2:23 am
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
2 Sep 2014, 2:23 am
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
13 Dec 2017, 10:32 am
James V. [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
31 Mar 2015, 9:17 am
According to authorities, the homeowners were startled awake by the alarm on their home security system. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
21 Mar 2023, 1:22 am
A sample of representative precedents includes: The People of the State of New York v. [read post]
31 Oct 2012, 9:49 am
Securities & Exchange Commission — definition of time limit for SEC to seek penalties for securities fraud 12-98 — Delia v. [read post]
15 May 2020, 3:29 am
Romeril] Once censorship to regulate “online harms” gets its foothold the topics of its meddlesome ambition will expand [Charles Hymas on demands in Britain that “body shaming” in social media be subject to legal sanction] Tags: free speech, online speech, Securities and Exchange Commission, social media [read post]
3 Oct 2017, 11:14 am
Vanessa Sauter flagged an amicus brief from Orin Kerr submitted in Carpenter v. [read post]
29 Dec 2016, 3:42 am
Here’s this WSJ article by Dave Michaels: A federal appeals court dealt a strong blow to Wall Street’s top cop this week, deciding that the Securities and Exchange Commission’s in-house courts don’t meet constitutional requirements. [read post]
13 Nov 2013, 5:35 am
The foundation of Rule 2010 is Section 15A(b)(6) of the Securities Exchange Act of 1934, which requires FINRA, as a registered securities association, to have and enforce rules that “promote just and equitable principles of trade. [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
6 Jun 2016, 4:20 pm
An April 2016 report further revealed that in 60 samples of soil taken from Camp Justice and tested for benzo(a)pyrene—a highly carcinogenic material that is linked to scrotal cancer—78 percent of the samples were positive for the carcinogen. [read post]
10 Mar 2014, 7:35 am
Because this bill would expand the scope of the crime of perjury, the bill would impose a state-mandated local program.Existing law, the Corporate Securities Law of 1968, provides for the regulation of the issuance of corporate securities, requires the qualification of an offer or sale of securities, and provides for exemptions from qualification.This bill would exempt the issuance of a membership by a worker cooperative company, as specified, from certain… [read post]
22 Jan 2023, 9:01 pm
SIGNIFICANT LEGAL AND REGULATORY DEVELOPMENTS IN 2022 SEC’s proposed climate-related disclosure rules: On March 21, 2022, the Securities and Exchange Commission proposed expansive climate-related disclosure requirements in a proposing release that, if adopted, would require U.S. public companies and foreign private issuers to dramatically expand the breadth, specificity and rigor of climate-related disclosures in their SEC periodic reports and registration… [read post]
