Search for: "State v. Investors Security Corporation"
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21 May 2024, 9:01 pm
This means that it is possible to render advice to a retirement investor without being a fiduciary, so long as the relationship between the advice provider and the retirement investor is clearly defined and understood by all parties. [read post]
20 May 2024, 9:05 pm
As stated in Blue Chip Stamps: “A private damages action under Rule 10b-5 is confined to actual purchasers or sellers of securities. [read post]
20 May 2024, 8:03 pm
This term stated that customers must “tell us if anything changes while you’re insured with us” (the Notification Clause) (our emphasis) and was included within Product Disclosure Statements (PDSs) issued with approximately 1,377,900 contracts for home and contents insurance policies. [read post]
20 May 2024, 4:00 am
By Anne Sherry, J.D.The Council of Institutional Investors (CII) is urging the Delaware State Bar Association to hit pause on recommending that the state legislature overturn a judicial decision. [read post]
14 May 2024, 9:05 pm
Ltd. v. [read post]
5 May 2024, 7:11 pm
At one extreme, in the case of a freeze-out merger–where the corporate machinery is allegedly used to deprive investors of their shares and/or voting rights–all deal negotiators must be completely independent and disinterested. [read post]
28 Apr 2024, 11:06 am
In many instances, corporate and securities lawsuits followed in the wake of these revelations. [read post]
25 Apr 2024, 9:05 pm
, Securities and Exchange Commission v. [read post]
25 Apr 2024, 9:01 pm
On April 5, 2024, a jury in California federal court found a former corporate executive liable for insider trading in SEC v. [read post]
25 Apr 2024, 1:28 pm
The Court contrasted the language of Rule 10b-5(b) with the language of Section 11(a) of the Securities Act of 1933, which prohibits a registration statement that “contain[s] an untrue statement of a material fact or omit[s] to state a material fact required to be stated therein or necessary to make the statements therein not misleading. [read post]
19 Apr 2024, 2:45 pm
In 1987, the Supreme Court broadly held in McNally v. [read post]
19 Apr 2024, 9:27 am
The court granted the SEC’s summary judgment motion in part, holding that the defendants had offered and sold unregistered securities since it found that TerraUSD, LUNA and MIR tokens were investment contracts under United States v. [read post]
17 Apr 2024, 9:01 pm
On April 12, 2024, the Supreme Court unanimously reversed and vacated the Second Circuit’s decision in Macquarie Infrastructure Corporation v. [read post]
15 Apr 2024, 7:25 am
Macquarie Infrastructure Corporation owns infrastructure-related businesses, including a subsidiary that operates large storage terminals for fuel oil and other commodities. [read post]
14 Apr 2024, 4:48 am
” The Court’s opinion in Macquarie Infrastructure Corp. v. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
11 Apr 2024, 4:57 am
Emphasis on Individual Accountability to Protect the Markets To encourage a compliance culture, Associate Director Stacy Bogert stated that the SEC will seek clawbacks of executive compensation under Sarbanes-Oxley Section 304. [read post]
10 Apr 2024, 9:01 pm
Rev. 965 (2017); Atherton v. [read post]
7 Apr 2024, 9:05 pm
One might say that it is easier for business managers and investors to focus only on the primary objective of short-term and long-term profits. [read post]
