Search for: "SEC CORPORATION v. United States"
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19 May 2016, 2:33 pm
[iii] One driver may be the state of the economy in the United States today. [read post]
8 Mar 2010, 5:05 am
In Bixler v. [read post]
11 Feb 2011, 10:29 am
(Business Roundtable and Chamber of Commerce v. [read post]
2 Aug 2019, 9:10 am
These tips came from every state in the United States and 72 countries. [read post]
18 Jul 2009, 7:31 am
Chairman Schapiro stated that the pilot program had introduced significant delays into the process of bringing a corporate penalty case, discouraged staff from arguing for a penalty and sometimes resulted in reductions in the size of penalties imposed. [read post]
13 Oct 2024, 9:01 pm
Background on Forms 13F and 13H Under Exchange Act Section 13(f)(1), institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities may be required to file quarterly reports listing such securities positions on SEC Form 13F.[2] Section 13(f) securities are defined as equity securities of… [read post]
19 Jan 2020, 7:31 am
In a recent decision, the Second Circuit in United States v. [read post]
20 Nov 2018, 2:28 pm
The 2018 awards included a $4.1 million award to a foreign national working outside the United States who reported a “widespread, multi-year securities violation. [read post]
14 Mar 2018, 12:46 am
The SEC has stated it remains committed in FY 2018 to “reviewing fact patterns of retaliation against whistleblowers and potential actions to impede communications with the Commission. [read post]
8 Jul 2013, 8:53 am
United States District Court, S.D. [read post]
21 Aug 2022, 1:15 pm
SEC concerns FINRA’s proposal to create a centralized service that provides bond-market participants core reference data for new issues of corporate bonds. [read post]
9 Feb 2024, 7:29 am
UBS Securities LLC et al., case number 22-660, before the Supreme Court of the United States. [read post]
22 May 2007, 7:42 am
(See my post about Bebchuck v. [read post]
30 Jul 2012, 5:08 am
Kohn and I are filing a "friend of the court" brief urging the United States Supreme Court to accept review of, and reverse, the First Circuit's decision in Lawson v. [read post]
4 Feb 2014, 11:15 am
In Roth v. [read post]
17 Apr 2018, 12:00 am
In Desta v. [read post]
6 Mar 2018, 12:00 am
In Fries v. [read post]
10 Jan 2013, 1:38 pm
In Gibbons v. [read post]
14 Jan 2019, 2:03 pm
In 2018, the Supreme Court of the United States held that state courts continue to have concurrent jurisdiction over claims by private plaintiffs and that defendants cannot remove actions filed in state court to federal court. [read post]
2 Mar 2010, 7:30 am
Recently, the Supreme Court acting in its legislative capacity voted on January 21, 2010 in Citizens United v. [read post]
