Search for: "Frank v. Securities"
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2 Sep 2010, 5:01 pm
The Dodd-Frank definition of retail customer does not exclude persons based on high-net worth status or any other indicia of market sophistication. [read post]
21 Jan 2011, 11:31 am
1) The D&O Diary: Cornerstone Releases 2010 Securities Litigation Study - Kevin LaCroix breaks down the annual study released jointly by Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse. 2) The Race to The Bottom: Business Roundtable v. [read post]
7 Apr 2014, 12:05 pm
” Prior to Dodd-Frank (2010), the statute also applied to rules issued by securities exchanges; Dodd-Frank amended § 29(a) to include rules issued by all SROs. [read post]
1 May 2017, 4:15 pm
In Berman v. [read post]
21 Oct 2013, 2:32 pm
(Lawson v. [read post]
23 Oct 2013, 7:03 am
The anti-retaliation provision of the Dodd-Frank Act does not extend beyond U.S. soil, a federal district court in New York ruled, dismissing the retaliation claims of a China-based compliance officer for a German corporation’s Chinese subsidiary (Liu v Siemens, A.G., October 21, 2013, Pauley, W, III). [read post]
15 Sep 2017, 9:16 am
First Data Corp. and Frank Bisignano v. [read post]
19 Apr 2011, 11:50 am
Co. v. [read post]
5 Feb 2011, 7:14 pm
Its leading case in this area is Landgraf v. [read post]
27 Apr 2012, 5:28 am
In Teamsters Local 237 v. [read post]
21 Feb 2018, 5:01 pm
The Court’s February 21, 2018 opinion in Digital Realty Trust, Inc. v. [read post]
28 Oct 2022, 6:31 am
On August 25, 2022, the Securities and Exchange Commission (“SEC”) adopted a new disclosure rule to implement the “pay versus performance” disclosure requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). [read post]
15 Dec 2014, 1:13 pm
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The SEC has filed another brief asking an appeals court to defer to its rulemaking extending Dodd-Frank’s whistleblower protections to employees who report misconduct internally. [read post]
10 Oct 2012, 7:23 am
The case is Kramer v. [read post]
7 Feb 2012, 1:16 pm
I have secured a copy of the Good v. [read post]
29 Jul 2020, 12:36 pm
Issues in XY Planning Network, LLC., v. [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
11 May 2012, 2:00 am
” McCoy v. [read post]
3 Nov 2010, 10:14 am
Related Web Resources: Morrison v. [read post]
