Search for: "In Re Securities and Exchange Commission"
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8 Oct 2010, 8:34 am
The Second Circuit concluded further that because only the Securities & Exchange Commission (“SEC”) may enforce Section 304, a settlement agreement between a shareholder derivative plaintiff and a CEO and CFO may not purport to indemnify or release those senior corporate executives from liability under Section 304. [read post]
4 Oct 2010, 9:29 am
False convictions are by definition "legal" until they're overturned by the appellate courts. [read post]
30 Sep 2010, 6:45 am
Court of Appeals, Second CircuitBusiness Law Judge Exceeded Authority in Ordering Wiretaps Turned Over to SEC in Galleon Case Securities and Exchange Commission v. [read post]
30 Sep 2010, 5:58 am
Chamber of Commerce and the Business Roundtable filed suit against the Securities and Exchange Commission on Wednesday, objecting to new proxy access rules for nominating corporate directors. [read post]
29 Sep 2010, 11:00 pm
Also, good to see the Halsbury’s Law Exchange are now blogging regularly! [read post]
27 Sep 2010, 3:21 am
., the European Commission, the Permanent Court of Arbitration, UNCTAD), academics and members of the private bar gathered in that sultry city, just prior to when it became even hotter over the World Cup, to exchange views with respect to two draft papers written by IISD. [read post]
22 Sep 2010, 7:36 am
The background: The Securities and Exchange Commission sued Mark Cuban in late 2008, alleging that he sold his 6.3% stake in a web-search company after learning — confidentially, from the company’s CEO — that it was planning to make a private placement of shares at a discount. [read post]
21 Sep 2010, 5:25 am
They're all on the table. [read post]
19 Sep 2010, 8:02 pm
Department of the Treasury; the Federal Deposit Insurance Corporation; the Federal Housing Finance Agency; all of the Federal Reserve banks; the Board of Governors of the Federal Reserve System; the National Credit Union Administration; the Office of the Comptroller of the Currency; the Securities and Exchange Commission; and the Bureau of Consumer Financial Protection established by the legislation. [read post]
14 Sep 2010, 12:47 pm
Here's the relevant language, parsed of exceptions: The Commission shall, by rule, direct the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer ... that does not comply with the requirements of this subsection. [read post]
12 Sep 2010, 9:01 am
Department of Justice and the Securities and Exchange Commission of possible bribes the company paid in Russia is now wider than previously reported. [read post]
10 Sep 2010, 5:39 am
Katz is a former senior counsel in the enforcement division of the Securities and Exchange Commission, where she served from 1990 to 1998. [read post]
9 Sep 2010, 1:13 am
SEC Judge Finds Investment Bank GC Was Not Negligent in Supervising Rogue Broker The National Law Journal The former general counsel of investment bank Ferris, Baker Watts appears to be off the hook after a Securities and Exchange Commission administrative law judge ruled Wednesday that he did not fail to reasonably supervise a rogue broker. [read post]
7 Sep 2010, 5:00 am
Sources: Release No. 34-62834 In Re: LACE Financial Corp. and Barron Putnam Release No. 34-62835 In Re: Damyon Mouzon SEC Charges NRSRO with Violation of 10% Rule by Barbara Black in Securities Law Prof Blog 17 CFR 240.17g-1 et seq. [read post]
3 Sep 2010, 7:04 am
But these vignettes are now permanently enshrined in the database of the Securities and Exchange Commission thanks to a 174-word provision in the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act. [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]
1 Sep 2010, 12:25 pm
The company filed it with the Securities and Exchange Commission on Tuesday afternoon, several hours after filing its 10-K. [read post]
24 Aug 2010, 11:12 am
Securities and Exchange Commission. [read post]
24 Aug 2010, 11:09 am
A recent ruling of the Securities and Exchange Commission (“SEC”) should serve as a yet another reminder of the importance of adequately preserving electronically stored data. [read post]
23 Aug 2010, 2:33 pm
” Just as one may learn significant information about charities from the publicly available Forms 990, one may acquire considerable information from Form ADV, the Uniform Application for Investment Adviser Registration, that is required to be filed with the Securities and Exchange Commission (“SEC”) and updated by all investment advisers registered with the SEC. [read post]
