Search for: "In Re Securities and Exchange Commission"
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28 Jul 2023, 4:00 am
National/Federal Senate GOP Leader McConnell Briefly Leaves News Conference After Freezing Up Midsentence Associated Press News – Mary Clare Jalonick | Published: 7/26/2023 Senate Minority Leader Mitch McConnell briefly left his own press conference after stopping his remarks midsentence and staring off into space for several seconds. [read post]
27 Jul 2023, 7:44 am
” “SEC Wins Access to Some Covington & Burling Clients’ Names” — “Covington & Burling LLP must turn over the names of seven clients whose data was compromised in a cyberattack to the US Securities and Exchange Commission, despite objections by the firm and others that to do so would weaken attorney-client privilege. [read post]
26 Jul 2023, 3:47 am
On March 21, 2022, the Securities and Exchange Commission (“SEC” or “the Commission”) served a subpoena on Covington & Burling, LLP (“Covington”), a multinational law firm headquartered in Washington, D.C. [read post]
20 Jul 2023, 1:23 pm
According to a recently-released meeting agenda, the Securities and Exchange Commission’s (“SEC”) upcoming July 26, 2023 meeting will include consideration of adopting rules to enhance disclosures regarding cybersecurity risk management, governance, and incidents by publicly traded companies. [read post]
20 Jul 2023, 10:44 am
(collectively, “Coinbase”) for failure to register as an exchange, a broker-dealer and a clearing agency, and for failure to register the offering and sale of securities via the Coinbase trading platform in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [read post]
20 Jul 2023, 8:46 am
It says that presuming reliance from materiality often is only appropriate where the cause of action is omission-based, relying on cases decided under the federal securities laws. [read post]
18 Jul 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
17 Jul 2023, 9:01 pm
Previously he worked as commissioner counsel and economist at the Securities and Exchange Commission. [read post]
17 Jul 2023, 5:49 am
This challenge just got messier with the recent decision in the case of the Securities and Exchange Commission v Ripple Labs. [read post]
7 Jul 2023, 4:00 am
Michigan – Redistricting Commission Member’s New Job Raises Ethics Questions WKAR – Rick Pluta | Published: 7/2/2023 The Michigan Independen [read post]
5 Jul 2023, 9:01 pm
The Securities and Exchange Commission (SEC) has proposed rules that could require increased ESG disclosures. [read post]
5 Jul 2023, 10:00 am
We’re meant to find that shocking!) [read post]
5 Jul 2023, 10:00 am
We’re meant to find that shocking!) [read post]
4 Jul 2023, 12:05 pm
This exchange between Rep. [read post]
29 Jun 2023, 9:15 pm
Platt found that tipsters represented by lawyers—especially experienced lawyers and those who previously worked at the Securities and Exchange Commission—outperformed most other tipsters. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
22 Jun 2023, 5:50 am
The SEC has charged Coinbase with operating as an unregistered securities exchange, broker, and clearing agency, as well as the unregistered offer and sale of securities.Court grants four months. [read post]
21 Jun 2023, 1:15 pm
(Indian Child Welfare Act) In re Cal. [read post]
20 Jun 2023, 9:01 pm
On June 7, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation M, replacing the investment-grade exceptions for non-convertible debt or preferred equity securities with credit risk exceptions based on a specified probability of default threshold assessed by the lead manager in writing pursuant to a structural credit risk model.[1] The amendments also require broker-dealers relying upon the new exceptions to… [read post]
19 Jun 2023, 6:32 pm
We exchanged views on our respective economic policies, including our concerns about China’s unfair treatment of U.S. companies. [read post]
