Search for: "Securities and Exchange Commission v. May"
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4 May 2018, 6:01 am
Securities and Exchange Commission, on Friday, April 27, 2018 Tags: Capital formation, Capital markets, Disclosure, Equity offerings, IPOs, Private firms, SEC, Securities regulation, Small firms, Underpricing, Underwriting Which Antitakover Provisions Matter? [read post]
21 Dec 2023, 4:24 pm
Readers may recall that I have penned several posts on the subject whether coal is a mineral for purposes of the Securities and Exchange Commission's resource extraction disclosure rules: Is Coal A Mineral And Why Ask? [read post]
7 Nov 2018, 7:55 am
The Securities and Exchange Commission says “no. [read post]
14 Feb 2022, 9:00 am
See Securities and Exchange Commission v. [read post]
7 Jun 2017, 6:05 am
§ 2462 applies to claims for disgorgement by the Securities and Exchange Commission (“SEC”). [read post]
31 Aug 2019, 7:00 am
The Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”) both include investment contracts in their definition of securities. (15 U.S.C. [read post]
1 Jun 2012, 5:04 am
In Matter of the Securities and Exchange Commission v. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
30 Jul 2018, 6:17 am
The answer to this question could have implications for the Securities and Exchange Commission’s (“SEC” or “Commission”) Enforcement Division as well as potentially significant implications for private securities litigants who principally rely on Section 10(b) to bring private causes of action sounding in fraud. [read post]
18 Mar 2010, 1:06 pm
On February 17, 2010, the Ninth Circuit Court of Appeals issued a decision addressing the “scienter” requirement for securities fraud under Securities Exchange Act of 1934 and Rule 10b-5. [read post]
2 Apr 2020, 4:14 pm
The Commission recognized that the need to comply with Exchange Act regulations pertaining to transfer agents under Section 17A and Section 17(f) may present compliance issues by those affected by COVID-19 (Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder, Release No. 34-88448, March 20, 2020). [read post]
5 Oct 2010, 5:00 am
Incident to the Fifth Circuit’s reinstatement of the Securities and Exchange Commission’s (“SEC”) insider trading case against Mark Cuban (“Cuban”), the District Court for the Northern District of Texas, Dallas Division, denied Cuban’s motion for attorney’s fees and expenses (“the Motion”). [read post]
29 Sep 2008, 8:21 pm
On November 28, 2007, the Securities and Exchange Commission voted to adopt an amendment to Rule 14a-8(i)(8), codifying the commission's long-standing interpretation that a company may exclude from its proxy materials shareholder proposals relating to making or opposing a director nomination or to setting up a process that would allow shareholders to conduct an election contest in the future by requiring the company to include director nominations… [read post]
1 Apr 2019, 9:28 am
Securities and Exchange Commission (SEC) may take a more expansive approach to the extraterritorial reach of its jurisdiction in light of the recent decision by the U.S. [read post]
21 Mar 2017, 3:59 pm
Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the unconstitutionality of its administrative law judges in Bandimere v. [read post]
5 Dec 2010, 6:00 am
Such aiding-and-abetting claims under the federal securities may be pursued only in enforcement actions by the Securities and Exchange Commission (SEC). [read post]
2 Aug 2019, 6:09 am
Securities and Exchange Commission 18-1501 Issue: Whether the Securities and Exchange Commission may seek and obtain disgorgement from a court as “equitable relief” for a securities law violation even though the Supreme Court has determined that such disgorgement is a penalty. [read post]
19 May 2012, 6:25 am
" Securities and Exchange Commission v. [read post]
19 May 2012, 6:25 am
" Securities and Exchange Commission v. [read post]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
