Search for: "In Re Securities and Exchange Commission"
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8 Dec 2021, 11:27 am
Annual Re-Certification of CFTC Exemptions. [read post]
5 Jan 2015, 3:31 pm
Annual Re-Certification of CFTC Exemptions. [read post]
24 Nov 2020, 5:48 am
192/18, Commission v Poland; C? [read post]
10 Dec 2023, 10:30 pm
First, universities are or behave like actors on a market: they can either engage in for-profit activities themselves or in competition, at institutional or faculty level, for securing external money (Slaughter & Leslie). [read post]
2 Nov 2010, 5:46 pm
Health Care Reform: STATES GET $49 MILLION TO BUILD INSURANCE EXCHANGES, 13 No. 9 Westlaw Journal Nursing Home 6, Westlaw Journal Nursing Home October 22, 2010The federal government has awarded $49 million in grants to 48 states and the District of Columbia to help them research and develop health insurance exchanges aimed at helping consumers shop for coverage. [read post]
3 Sep 2019, 8:50 pm
But let’s now layer on the Securities and Exchange Commission too, with its anti-fraud and disclosure requirements on public companies. [read post]
24 Oct 2011, 12:00 pm
Securities and Exchange Commission. [read post]
19 May 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that it will grant a whistleblower its third-largest reward ever of between $5 Million and $6 Million – emphasizing that employees are often the ones who are best-placed to discover securities violations, the SEC justified the decision as rewarding an insider tip that led to the discovery of violations that would have been “nearly impossible” for the SEC to detect on its own. [read post]
23 Jul 2017, 9:20 pm
Securities and Exchange Commission’s (SEC) pursuit of “disgorgement”—a type of repayment in which the defendant is required to turn over the gains obtained from violating the securities laws—is properly understood as a “penalty” within the meaning of a five-year statute of limitations on imposition of penalties by the SEC. [read post]
12 Aug 2010, 7:40 am
Liberty's former CEO eventually pleaded guilty to a single count of conspiring to commit wire fraud and was sued by the Securities and Exchange Commission. [read post]
27 Jul 2018, 4:45 am
It instructs that bidders must include all details of a tender offer in filings to the Securities and Exchange Commissions (SEC) and the target company. [read post]
7 Dec 2014, 2:53 pm
Specifically, when the investment company got its start, it asked the Securities and Exchange Commission (SEC) to issue an exemptive order, approving its “joint participation” arrangement (SEC order downloads as a pdf). [read post]
4 May 2023, 9:31 pm
Securities and Exchange Commission to reassess existing exemptions and to collect more data on private markets before exempting additional companies from public disclosure requirements. [read post]
2 Sep 2010, 5:12 am
However, the 2009 Amendments provided no exceptions for certain commercial transactions that often rely upon or involve the granting of a power of attorney, particularly powers of attorney executed in connection with shareholder proxies, real estate transactions, brokerage arrangements, Securities and Exchange Commission filings, state blue sky filings and tax forms. [read post]
24 Nov 2016, 2:56 pm
Gender representation on the bench is not easily secured and must be worked hard for. [read post]
24 Apr 2023, 9:05 pm
Yet, the more robust the registration statement, the more likely there is to be more back-and-forth with the Securities and Exchange Commission in advance of approval. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
18 Sep 2012, 8:41 am
Securities and Exchange Commission to take a company public–including the ability to keep that very fact private. [read post]
1 Aug 2019, 9:05 pm
The plaintiffs, however, claimed that Capital One breached its implied contract with its customers and applicants and negligently failed to exercise care in securing their personal information, including by failing to follow data security practices recommended by the Federal Trade Commission. [read post]
21 Sep 2010, 5:25 am
They're all on the table. [read post]
