Search for: "Securities & Exchange Commission v. Topping"
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17 Apr 2022, 5:58 am
(The executive reportedly later claimed that he was promised a top cyber security job in the Clinton administration). [read post]
10 May 2013, 5:06 am
This session will address any lingering questions you may have about the FCPA guidance published last fall by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
6 Jan 2017, 5:50 am
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
9 Apr 2025, 1:56 pm
On January 13, 2025, the Securities and Exchange Commission (the “SEC”) announced charges against 12 firms, including both investment advisers and broker-dealers, for violating the recordkeeping requirements of the Investment Advisers Act of 1940 (the “Advisers Act”) and the Securities and Exchange Act of 1934, as amended (the “Securities Act”). [read post]
16 May 2012, 2:32 pm
Gabby's depicted at foreground in the top photo; behind her is Sasha E. [read post]
20 Mar 2014, 9:01 pm
The concept began growing when the Securities and Exchange Commission authorized such investigations as a part of an effort to reduce the costs of government supervision of publicly-traded companies. [read post]
5 Jul 2018, 4:15 am
Commentary on Masterpiece Cakeshop v. [read post]
31 Mar 2025, 3:10 pm
” The fact sheet identified the FTC, along with the Federal Communications Commission (FCC) and the Securities and Exchange Commission (SEC), as among the “[s]o-called independent agencies” that were to be reigned in. [read post]
9 Jun 2021, 8:28 am
It ought not to escape attention that the Senate passage of the bull tool place the day after the CECC issued a public statement condemning Apple's operations in China as in contravention of the moral position and the political principles of the United States (Public Pressure on Private Conduct in Defense of Liberal Democratic Values: Congressional-Executive Commission on China Chairs Issue Statement about Forced Labor in Apple’s Supply Chain in Xinjiang). [read post]
4 Jan 2018, 10:59 am
v. [read post]
22 Apr 2019, 4:53 pm
The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
16 Sep 2018, 8:06 am
(Pix credit here: With eye on China, EU parliament pushes tougher line on investments)Europe appears to be faced, again, with the hard task of balancing its relations among frenemies while retaining its wealth. [read post]
15 Dec 2022, 4:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
15 Dec 2022, 8:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
17 Apr 2018, 9:30 pm
SEC, centers on a dispute over administrative law judges (ALJs) who work for the Securities and Exchange Commission (SEC). [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
8 Sep 2010, 2:57 am
The whistleblower provisions include the creation of a new whistleblower bounty pursuant to which individuals who bring violations of securities and commodities laws to the attention of the Securities and Exchange Commission or the Commodities Futures Trading Commission will receive between 10 percent and 30 percent of any recovery in excess of $1 million. ? [read post]
12 Nov 2011, 1:20 pm
Al-Nashiri said several times that he understood the issue and wanted to proceed with Paradis on his team.During this exchange, Cuyler v. [read post]
22 Oct 2020, 7:22 am
Securities and Exchange Commission (first reported by IAM) that on September 29, it filed for an anti-anti-suit injunction (AASI) in the Delhi High Court to prevent Xiaomi from enforcing its Chinese ASI. [read post]
14 May 2012, 6:45 am
Aleynikov and U.S. v. [read post]
