Search for: "Gary Sells"
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30 Aug 2021, 10:54 am
" At some point between 2016 and 2017, Sims linked up with co-defendant Gary Shawn Haynes, Jr., who was a college football player. [read post]
17 Aug 2021, 6:43 am
Butterfield and Senator Gary Peters to revive the program. [read post]
16 Aug 2021, 8:56 am
Edited by Gary J. [read post]
13 Aug 2021, 3:50 am
Written by Kristian Soltes Edited by Gary J. [read post]
13 Aug 2021, 3:50 am
Written by Kristian Soltes Edited by Gary J. [read post]
12 Aug 2021, 8:39 am
The actions against Poloniex and BitMEX come on the heels of SEC Chair Gary Gensler’s provocative speech likening crypto trading to the “Wild West” and characterized digital assets as an asset class rife with “fraud, scams and abuse. [read post]
12 Aug 2021, 2:15 am
Not surprisingly, the list generally lines up nicely with the priorities Gary Gensler identified in his June 2021 speech to the WSJ’s CFO Summit. [read post]
2 Aug 2021, 6:47 am
Edited by Gary J. [read post]
19 Jul 2021, 6:36 am
Edited by Gary J. [read post]
15 Jul 2021, 2:54 pm
The federal judiciary will now face the legal conundrum of assessing whether a new breed of investor that purchases stock through a wholesaler that profits from transaction gamification by selling order flow, may be considered similarly situated as a more sophisticated institutional investor that depends on investment managers with fiduciary duties to clients when making investment decisions in the same stock.[15] The Goldman opinion confirmed that if the allegedly misleading… [read post]
13 Jul 2021, 5:54 am
The SEC further alleges that the defendant created liquidity or met redemption requests by selling overvalued loans to new investors to pay off earlier investors. [read post]
7 Jul 2021, 9:15 am
The First Amendment is one of the cornerstone principles that define this nation. [read post]
6 Jul 2021, 7:57 am
Edited by Gary J. [read post]
29 Jun 2021, 3:11 am
Edited by Gary J. [read post]
28 Jun 2021, 5:50 am
However, academic studies have asserted that some executives use 10b5-1 plans to engage in opportunistic, large-scale selling of company shares. [2] There are limited SEC enforcement actions concerning Rule 10b5-1 and none recent. [read post]
25 Jun 2021, 5:03 pm
While SEC Chairman Gary Gensler continues to push for a multi-agency approach, the case against Ripple means that in the short term Federal agencies will favor the “enforcement over regulation approach,” and approach that brings little clarity. [read post]
25 Jun 2021, 5:49 am
[On June 7, 2021], in remarks before the WSJ’s CFO Network Summit, SEC Chair Gary Gensler scooped the Summit with news of plans to address issues he and others have identified in Rule 10b5-1 plans. [read post]
24 Jun 2021, 6:57 am
As for short selling, he stated that the Commission should take advantage of unused, past Congress-designated authority to enhance short-selling transparency. [read post]
21 Jun 2021, 11:36 am
Unlike customers who would look elsewhere when a small van company raises its prices above market levels, the district court found (and the NCAA does not here contest) that student-athletes have nowhere else to sell their labor. [read post]
9 Jun 2021, 2:21 pm
In their paper, the academics reported what they described as ““opportunistic, large-scale selling that appears to undermine the purpose of Rule 10b5-1. [read post]
