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16 Dec 2011, 10:50 am
But to a layman it seems rather odd that a Securities and Exchange Commission official would accuse a federal district judge of committing a “legal error by announcing a new and unprecedented standard” when that judge insisted simply on facts being established before he would sign off on an agreement between the SEC and Citigroup Inc. [read post]
17 Apr 2015, 7:11 am
The Securities and Exchange Commission (SEC) recently announced charges against Macquarie Capital (USA) Inc., (Macquarie) a wholly owned subsidiary of Macquarie Group Limited. [read post]
25 Sep 2023, 12:27 pm
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and Exchange Commission (SEC) has recently taken action against DWS Investment Management Americas Inc. [read post]
15 Nov 2011, 5:00 am
They share that Management and Board readiness are essential for a successful IPO. [read post]
12 Oct 2023, 12:00 am
It is essential for the Carrillo family to maintain open and honest communication. [read post]
4 Jun 2024, 4:49 pm
On 22 February 2024, Master Dagnall handed down judgment in Hawrami v Journalism Development Network Inc [2024] EWHC 389 (KB) in relation to an article (“the Article”) first published on 22 May 2021 by Journalism Development Network Inc and written by Mr Daniel Balint-Kurti and Mr William Jordan (“the Defendants”). [read post]
13 Aug 2010, 6:14 am
In In re Silicon Graphics, Inc. [read post]
17 Mar 2014, 5:02 pm
Callidus Software, Inc., C.A. [read post]
11 Jul 2019, 6:26 am
Securities and Exchange Commission. [read post]
21 Dec 2009, 4:23 am
New York Stock Exchange, Inc. [read post]
19 Jun 2007, 5:15 am
By August 2004, the family had agreed to the arrangement and by December 2004 Robert Mondavi Inc. [read post]
4 Feb 2015, 9:21 am
ZST Digital Networks, Inc., No. [read post]
23 Jun 2010, 8:00 am
Biogen IDEC Inc., 537 F.3d 35, 48 (1st Cir. 2008). [read post]
29 Feb 2016, 4:43 pm
Nomura Holding Am., Inc., 104 F. [read post]
3 May 2022, 1:39 pm
Following Cyan, there was a proliferation of state court securities suits, often parallel to and duplicative of federal court lawsuits based on the same essential allegations. [read post]
24 Apr 2008, 6:04 pm
Case Essential To Protecting Analysts From Issuer Retaliation SCOTTSDALE, Ariz. [read post]
29 Feb 2024, 5:54 am
Demystifying What Constitutes an Acceptable Specimen of Use Evidence of use is, in most circumstances, essential to securing and maintaining a U.S. trademark registration. [read post]
27 Jan 2009, 1:58 am
The securities themselves are essentially contracts that entitle the owner to certain portions of principal and interest from the pools of mortgages that serve as collateral for the securities. [read post]
23 Nov 2015, 3:15 pm
Since this transfer, FINRA essentially has been the only self-regulator on the industry beat. [read post]
8 Aug 2023, 9:31 am
“Compliance with the books and records requirements of the federal securities laws is essential to investor protection and well-functioning markets. [read post]
