Search for: "Securities & Exchange Commission v. Topping"
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14 Nov 2014, 5:42 am
Kalamazoo County Road Commission v. [read post]
15 Jan 2023, 2:35 pm
This article explores guidelines from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and provides practical strategies for corporations to navigate the investigation process. [read post]
13 Sep 2018, 1:01 pm
The firms with multiple wins in this area track closely to the attorneys at the top. [read post]
10 Dec 2019, 9:01 pm
A similar rationale might be offered for partisan-balance rules applicable to various federal agencies, including the Federal Deposit Insurance Corporation, the Federal Trade Commission, the Securities and Exchange Commission, the Federal Communications Commission, the Commission on Civil Rights, the Federal Energy Regulatory Commission, and the Federal Election Commission.The Third Circuit opinion expressed skepticism about whether… [read post]
29 Jun 2018, 4:17 am
Securities and Exchange Commission, in which the court invalidated the appointments of the SEC’s administrative law judges, concluding that“in the near term the SEC (and perhaps other agencies) will have to redo a series of (in some cases fairly old) administrative cases, potentially straining resources and possibly prompting the agency to tap other ALJs. [read post]
12 Mar 2018, 12:42 am
Securities and Exchange Commission (“SEC”) issued further interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents (the “2018 SEC Guidance”). [read post]
1 Feb 2008, 12:00 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
30 Mar 2007, 1:10 am
Securities and Exchange Commission filed a civil complaint on Wednesday that alleges two former in-house lawyers at Houston-based Enron Corp. violated federal securities laws by misrepresenting and omitting material information from Enron's public securities filings. [read post]
18 Jul 2022, 2:46 pm
We are therefore seeing more ESG-focused securities litigation in the pipeline for these reasons. [read post]
13 Dec 2023, 4:54 am
A U.N. commission of inquiry already examining war crimes in Israel and the occupied Palestinian territories said its investigation would probe accusations of sexual violence and provide evidence to the International Criminal Court, although Israel has refused to cooperate with such investigation as it accuses the U.N. of being bias. [read post]
6 May 2022, 4:00 am
National/Federal A Decision to Overturn Roe v. [read post]
23 Sep 2010, 9:58 am
" for withdrawing Public Company Accounting Oversight Board members and instead vests that authority with Commissioners of the Securities and Exchange Commission. [read post]
16 Jan 2008, 3:21 pm
Wall Street has successfully argued that Congress intended only the Securities and Exchange Commission to police fraud, not to open the door to lawsuits by private shareholders. [read post]
26 Sep 2016, 4:43 am
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
22 Aug 2012, 8:01 am
California Coastal Commission (1987) and Dolan v. [read post]
24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
4 Feb 2011, 9:00 am
10:00 – 10:30 Keynote Speaker Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations 10:30 – 10:50 Networking break 10:50 – 12:00 Panel: The new form ADV 2 part 2 - Most important required elements for the brochure - Addressing the most challenges aspects i.e. confidential information and fees - Handling updates and brochure supplements - Effective delivery 12:00… [read post]
2 May 2012, 8:19 am
Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations interviewed by Nicholas Donato, Editor, Private Equity Manager Mr. di Florio started off with some post-registration statistics: 3100 private funds with 8 trillion dollars in the funds. 4000 registered private fund advisers 37 of the 50 world’s biggest private equity fund managers are now registered. 48 of 50 world’s… [read post]
17 Apr 2022, 5:58 am
(The executive reportedly later claimed that he was promised a top cyber security job in the Clinton administration). [read post]
10 May 2013, 5:06 am
This session will address any lingering questions you may have about the FCPA guidance published last fall by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
