Search for: "SEC v. National Securities, Inc."
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1 Nov 2017, 10:21 am
NASD (National Association of Securities Dealers, Inc.) [read post]
23 Oct 2017, 4:22 pm
In the SEC’s Examination Priorities, published on January 12, 2017, the SEC warned publicly traded companies that it will be investigating cybersecurity practices with higher scrutiny.[18] Specifically, the SEC states that “[i]n 2017, we will continue our initiative to examine for cybersecurity compliance procedures and controls, including testing and implementation of those procedures and controls. [read post]
23 Oct 2017, 4:22 pm
In the SEC’s Examination Priorities, published on January 12, 2017, the SEC warned publicly traded companies that it will be investigating cybersecurity practices with higher scrutiny.[18] Specifically, the SEC states that “[i]n 2017, we will continue our initiative to examine for cybersecurity compliance procedures and controls, including testing and implementation of those procedures and controls. [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
16 Oct 2017, 11:51 am
Securities and Exchange Commission (SEC), are protected under the Dodd-Frank Act (DFA). [read post]
5 Oct 2017, 7:24 am
The complaint, Securities and Exchange Commission v. [read post]
2 Oct 2017, 4:50 pm
2005: SEC v. [read post]
NCSLT Litigation Moratorium? – Expect confusion, inconsistent implementation, and need for follow-up
22 Sep 2017, 2:27 pm
On Sep. 18, 2017 the CFPB issued an administrative CONSENT ORDER that requires Transworld Systems, Inc. [read post]
16 Sep 2017, 10:26 am
Tenaska Energy, Inc. v. [read post]
12 Sep 2017, 1:02 pm
According to SEC filings, in July, Behringer Harvard Opportunity REIT II Inc. changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc. [read post]
4 Sep 2017, 2:20 pm
The likeliest explanation is that increased levels of securities suit filings reflect changes in the plaintiffs’ securities class action bar. [read post]
13 Aug 2017, 6:00 am
With all of those challenges, any reasonable observer may wonder whether the goal of securing $5 billion of new investment from PPP projects over the next two years is realistic. [read post]
12 Aug 2017, 9:10 pm
Disney had to report its payment to the Securities and Exchange Commission (SEC), so we know that much. [read post]
1 Aug 2017, 12:22 pm
It was formerly known as American Realty Capital Trust V, Inc. [read post]
26 Jul 2017, 7:39 am
Behringer Harvard Opportunity REIT II Inc. has changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc., according to recent SEC filings. [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]
26 Jun 2017, 6:23 am
SEC Amicus Briefs SEC Amicus Brief in Verble v. [read post]
15 Jun 2017, 8:24 am
It was formerly known as American Realty Capital Trust V, Inc. [read post]
12 Jun 2017, 4:29 am
Tyrrell and Impression Products, Inc. v. [read post]
6 Jun 2017, 3:57 am
Securities and Exchange Commission, the court held that because SEC disgorgement operates as a penalty, the five-year statute of limitations applies to a claim for disgorgement in an SEC enforcement action. [read post]
