Search for: "In Re Securities and Exchange Commission"
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20 Apr 2022, 5:01 am
Prosecutors alleged that Zhou took advantage of his official positions for nearly two decades by seeking bribes in exchange for helping unidentified companies acquire discounted land in his jurisdiction. [read post]
15 May 2017, 10:08 am
Defendant provided the banks' employees with false information, primarily fraudulent social security numbers and home addresses. [read post]
11 Sep 2022, 9:01 pm
ENDNOTES [1] The Securities and Exchange Commission disclaims responsibility for any private publication or statement of any SEC employee or Commissioner. [read post]
13 Jan 2022, 9:03 pm
Securities and Exchange Commission (SEC) should write its own environmental, social, and governance (ESG) disclosure rules, which would require public companies to disclose important information related to ESG. [read post]
27 Mar 2019, 8:43 am
Whereas the FCA’s powers to take action under FSMA typically only apply to securities traded on a regulated exchange or trading platform, the competition powers arguably go wider. [read post]
24 Apr 2023, 4:47 am
The issue in Axon Enterprise, as described by the majority, was whether Congress, in enacting the relevant structures of the Securities Exchange Act and the Federal Trade Commission Act, had implicitly substituted an “agency-then-court of appeals” form of review of agency action for the district court review form prescribed by the “federal question” statute, 28 U.S.C. [read post]
19 Apr 2018, 9:30 pm
Securities and Exchange Commission (SEC) voted 4-1 to seek public comment on proposed rules protecting personal investors. [read post]
18 Mar 2021, 3:00 pm
While the growing cannabis industry will need to be wary of increased regulatory pressure from the Securities Exchange Commission and other federal agencies, there is no denying that the industry has a bright future. [read post]
28 Mar 2018, 7:03 am
We were all actually surprised that the Securities and Exchange Commission allowed Spotify to get away with this kind of disclosure as the definition is buried in a footnote. [read post]
24 Apr 2023, 4:47 am
The issue in Axon Enterprise, as described by the majority, was whether Congress, in enacting the relevant structures of the Securities Exchange Act and the Federal Trade Commission Act, had implicitly substituted an “agency-then-court of appeals” form of review of agency action for the district court review form prescribed by the “federal question” statute, 28 U.S.C. [read post]
29 Sep 2009, 6:19 am
Beginning in 2010, under a rule change adopted by the New York Stock Exchange and approved by the Securities and Exchange Commission, discretionary voting by brokers of shares where they have not received voting instructions from shareowners will no longer be allowed in director elections. [read post]
16 Nov 2017, 9:30 pm
Securities and Exchange Commission, discussed what deregulation looks like under the Trump Administration. [read post]
15 Jul 2024, 9:01 pm
In Securities and Exchange Commission v. [read post]
30 Aug 2023, 5:47 am
If you’re dealing with complex matters like estate planning or securities law, look out for professionals experienced in these domains. [read post]
12 Mar 2010, 6:06 am
For example, did the board re-nominate a director or continue to have the CEO serve as Chairman because he is well liked by management or the board? [read post]
11 Jan 2008, 10:09 am
The 2008 U.S. proxy season could be one of the more contentious in recent memory following the Securities and Exchange Commission's November decision to allow companies to exclude proxy access proposals. [read post]
29 Jul 2018, 1:14 pm
SEC (2017), Kavanaugh dissented from a decision upholding the Securities and Exchange Commission's broad theory of liability in enforcing fraud laws against a broker who transmitted a fraudulent statement dictated by his boss. [read post]
18 Sep 2007, 7:50 am
The broker in turn calls another broker in Cairo who agrees to settle the debt at a later time for a small commission. [read post]
21 Oct 2021, 10:27 am
Securities and Exchange Commission (SEC). [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
