Search for: "Securities and Exchange Commission v. May"
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1 Nov 2022, 12:15 am
Corp. v. [read post]
13 Mar 2018, 12:48 pm
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the… [read post]
13 Mar 2018, 12:48 pm
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the… [read post]
7 Jun 2017, 1:16 pm
Securities and Exchange Commission, No. 16-529, that the SEC may not reach beyond the general five year statute of limitations period in order to obtain “ill-gotten gains,” a remedy known as disgorgement. [read post]
3 Aug 2021, 1:42 pm
In Securities & Exchange Comm’n v. [read post]
16 Oct 2019, 2:51 pm
In Securities & Exchange Comm. v. [read post]
7 May 2013, 1:17 pm
It’s one bullet point buried deep in the Ontario budget but it could have big implications for the class action bar.On page 290 of last week’s budget, under a section regarding consultations with the Ontario Securities Commission, it’s noted the government “plans to propose further changes to update the Securities Act. [read post]
21 Nov 2012, 2:00 am
Supreme Court in Securities & Exchange Commission v. [read post]
12 Jan 2012, 1:09 pm
Thus,they urge the Commissions to clarify that a hedge fund or traditional commodity pool will continue to qualify as an eligible contract participant by relying on Section 1a(18)(A)(v)(I), which, as amended by Section 721(a)(9) of Dodd-Frank permits a hedge fund having assets exceeding $10,000,000 to qualify as an eligible contract participant.The scope of the eligible contract participant definition is critically important because Sections 723(a)(2) and 763(e) of Dodd-Frank make… [read post]
20 Oct 2011, 5:00 am
Hansen filed a Form 8-K with the Securities and Exchange Commission (“SEC”) on October 19, 2009, and restated its financial reports for several quarters. [read post]
26 Oct 2015, 6:30 am
Prior to this decision, federal cyber security regulation has existed in the legal badlands, with the Federal Trade Commission (FTC), the Securities and Exchange Commission and the Department of Justice regulating different aspects of data security using separate and overlapping authorities. [read post]
11 Feb 2018, 12:00 am
In SEC v. [read post]
12 Feb 2010, 10:17 am
Congress recognized private securities litigation as andquot;an indispensable tool with which defrauded investors can recover their losses without having to rely upon government actionand#39; and consequently, such lawsuits and#39;promote public and global confidence in our capital markets and help to deter wrongdoing and guarantee that corporate officers, auditors, directors, lawyers and others properlyandnbsp;andnbsp;perform their jobs.andquot; The Securities and… [read post]
21 Jun 2013, 11:26 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
3 May 2012, 12:52 pm
In Australian Securities and Investments Commission v Hellicar [2012] HCA 17 and appeals relating to 6 other non-executive directors of James Hardie Industries Ltd (“JHIL”) the High Court allowed ASIC’s appeals and held that each director breached his or her duties as a director of the company by approving the company’s release of a misleading announcement to the Australian Stock Exchange (“ASX”). [read post]
20 Jan 2023, 7:43 am
Securities and Exchange Commission, 34 F. 4th 446 (5thCir. 2022), which ruled on May 18, 2022, in a 2-1 decision, that the U.S. [read post]
20 Sep 2010, 5:40 am
The notes were issued pursuant to American Business’s 2002 and 2003 registration statements and prospectuses filed with the Securities and Exchange Commission (“SEC”). [read post]
9 Jul 2021, 7:07 am
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
15 Aug 2013, 12:45 pm
The high commissions associated with oils and gas investments often provides some broker-dealers with enough incentive to overlook suitability requirements set forth by the Securities and Exchange Act of 1934. [read post]
16 Aug 2021, 3:16 pm
In Securities & Exchange Comm’n v. [read post]
