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7 Sep 2017, 3:10 pm
Currently, Rule 257 requires a Tier 2 issuer to file periodic and other reports with the Commission on Forms 1-K, 1-SA, and 1-U. [read post]
22 Aug 2017, 8:30 am
ICYMI: Yesterday, on Lawfare Matthew Kahn posted Military Commissions Chief Prosecutor Brig. [read post]
18 Aug 2017, 7:45 am
Securities and Exchange Commission. [read post]
U.S. News Names 2017-2018 “Best” Hospitals; Patient Usefulness Starts With Metholodogy Understanding
17 Aug 2017, 4:03 pm
Luke’s Medical Center Houston, No.4 Memorial Hermann-Texas Medical Center, No.5 and Medical City Dallas Hospital No. 6 on its list of the best hospitals in the state of Texas. [read post]
9 Aug 2017, 6:00 am
Securities and Exchange Commission (SEC) reminded the industry and so-called “disruptors” that federal securities laws may apply to some of these offerings. [read post]
21 Jul 2017, 12:59 pm
SEC enforcement proceedings (disgorgement): Statute of limitations:The Securities and Exchange Commission (SEC or Commission) possesses authority to investigate violations of federal securities laws and to commence enforcement actions in federal district court if its investigations uncover evidence of wrongdoing. [read post]
12 Jul 2017, 6:04 am
Securities and Exchange Commission (SEC) administrative law judges (ALJs) are employees who are not subject to the Appointments Clause of the U.S. [read post]
23 Jun 2017, 9:06 am
These provisions are intended to give effect to the directly applicable rules on such firms in Title VIII of MiFIR (which give access to the UK for such firms if the European Commission decides their home State has a regulatory regime equivalent to the EU’s regime). [read post]
21 Jun 2017, 7:59 am
Thanks to Bryan U. [read post]
16 May 2017, 6:21 am
Securities and Exchange Commission, on Tuesday, May 16, 2017 Editor's Note: Michael S. [read post]
3 May 2017, 3:47 am
U. [read post]
29 Mar 2017, 5:09 am
Under the 1975 Securities Acts Amendments, large money-management institutions were required to report their portfolio holdings on a quarterly basis to the Securities and Exchange Commission. [read post]
24 Mar 2017, 10:16 am
This verdict from New Mexico, affirmed on appeal by the 10th Circuit, awarded the Securities and Exchange Commission (“SEC”) a disgorgement award of $34.9 million, plus $18.1 million in prejudgment interest, and a penalty of $2.4 million for Charles R. [read post]
24 Mar 2017, 7:24 am
Courts of Appeals for the 3rd and 9th Circuits – that Item 303 of Securities and Exchange Commission Regulation S-K creates a duty to disclose that is actionable under Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. [read post]
3 Mar 2017, 6:19 am
Securities and Exchange Commission, on Friday, March 3, 2017 Editor's Note: Kara M. [read post]
16 Feb 2017, 8:40 am
Securities and Exchange Commission [Public domain], via Wikimedia Commons By U. [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
12 Jan 2017, 7:01 am
Thanks to Bryan U. [read post]
4 Jan 2017, 1:02 am
Securities and Exchange Commission (SEC) in SEC v. [read post]
