Search for: "U. S. Securities and Exchange Commission"
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20 Jan 2019, 11:43 pm
Detroit Timber & Lumber Co., 200 U. [read post]
14 Jan 2019, 2:03 pm
The 1933 Act bars any person from offering or selling securities except pursuant to a registration statement approved by the Securities and Exchange Commission (the “SEC”) or in compliance with an exemption. [read post]
9 Jan 2019, 6:30 am
Securities and Exchange Commission (SEC), one of nine federal agencies affected, recently published its Operations Plan Under a Lapse in Appropriations and Government Shutdown (sec.gov/files/sec-plan-of-operations-during-lapse-in-appropriations-2018.pdf), which went into effect on December 27, 2018. [read post]
14 Dec 2018, 7:16 pm
Perhaps one way is to treat internet platform companies the way one treats the business of stock exchanges. [read post]
12 Dec 2018, 6:03 am
Securities and Exchange Commission. [read post]
5 Dec 2018, 3:00 am
” But the path to compliance isn’t easy – and includes registering the securities under the Exchange Act. [read post]
16 Sep 2018, 8:06 am
China may well become Europe's greatest pupil. [read post]
14 Aug 2018, 4:17 pm
Securities and Exchange Commission (SEC) has a three-part mission: Protect investors Maintain fair, orderly, and efficient markets Facilitate capital formation I think it needs to add: "Ensure proper entity identification. [read post]
23 Jul 2018, 11:50 am
Germaine, it is difficult to see how the members of the Commission may escape inclusion. [read post]
13 Jul 2018, 7:01 pm
Special Counsel Robert Mueller moved with his usual combination of patience and strict operational security, and even though Acting Attorney General Rod Rosenstein briefed President Trump on the coming action before the Leaker in Chief left town, the matter held until Rosenstein disclosed it at a Justice Department press conference. [read post]
7 Jul 2018, 7:03 am
Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial coin offering (“ICO”) industries about the securities law implications for digital assets. [read post]
2 Jul 2018, 11:28 am
The ICO was not registered with the Securities and Exchange Commission (“SEC”). [read post]
28 Jun 2018, 6:00 am
Facts of Lucia v Securities and Exchange Commission The Securities and Exchange Commission (SEC or Commission) has statutory authority to enforce the nation’s securities laws. [read post]
13 Jun 2018, 9:39 am
Securities and Exchange Commission 17-1077 Issue: Whether a misstatement claim that does not meet the elements set forth in Janus Capital Group, Inc. v. [read post]
12 Jun 2018, 7:15 am
Securities and Exchange Commission, 17-1077 Issue: Whether a misstatement claim that does not meet the elements set forth in Janus Capital Group, Inc. v. [read post]
3 Jun 2018, 2:18 pm
Securities and Exchange Commission (SEC) (which issued, on March 7, 2018, its own broad and sweeping statement about the dangers potential illegalities of exchange like crypto-trading facilities). [read post]
2 May 2018, 1:02 pm
Securities and Exchange Commission (SEC) is a key player in the regulatory landscape. [read post]
24 Apr 2018, 1:47 pm
S. [read post]
23 Apr 2018, 2:00 pm
” The State Department also disclosed an exchange of letters between then-U.K. [read post]
23 Apr 2018, 11:51 am
At the same time, the Securities and Exchange Commission has warned the public about the potential for ICO scams. [read post]
