Search for: "U. S. Securities and Exchange Commission"
Results 301 - 320
of 451
Sorted by Relevance
|
Sort by Date
3 Jun 2009, 7:03 am
Anyway, I figure, if my client can e-mail from a federal maximum security prison, maybe it's not so crazy that a county jail inmate can tweet from a county jail. [read post]
5 Feb 2023, 4:06 pm
John’s Law Review forthcoming) Regulatory Enforcement Manuals by Jordan Perkins (Final Report for the Administrative Conference of the United States, Dec. 9, 2022) Securities and Exchange Commission vs. [read post]
20 Jan 2019, 11:43 pm
Detroit Timber & Lumber Co., 200 U. [read post]
14 Jan 2019, 2:03 pm
The 1933 Act bars any person from offering or selling securities except pursuant to a registration statement approved by the Securities and Exchange Commission (the “SEC”) or in compliance with an exemption. [read post]
2 Feb 2022, 6:01 am
For example, individuals or entities who aren’t sure whether a particular product, service or action would violate federal securities law can request a no-action letter from the Securities and Exchange Commission (SEC). [read post]
13 Nov 2013, 5:35 am
The foundation of Rule 2010 is Section 15A(b)(6) of the Securities Exchange Act of 1934, which requires FINRA, as a registered securities association, to have and enforce rules that “promote just and equitable principles of trade. [read post]
8 Mar 2018, 7:57 am
Securities and Exchange Commission, 17-130, the government persuaded the court that the petitioners in Scott had “failed to raise an Appointments Clause challenge either before the [agency] or before the court of appeals, and neither of those bodies addressed the issue. [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]
26 Oct 2011, 7:46 am
Rajaratnam’s trial in March, when the Securities and Exchange Commission filed an administrative proceeding against him. [read post]
1 May 2012, 11:32 am
On the other hand, data manipulation software that uses Security Socket Layer (SSL) encryption usually qualifies for BIS’s “Mass Market Encryption” exception for items classified under Export Control Classification Numbers 5A992 and 5D992. [read post]
9 Nov 2009, 8:31 am
Securities and Exchange Commission apparently agrees. [read post]
8 Aug 2021, 12:22 pm
Securities and Exchange Commission voted “to approve Nasdaq’s proposed rule changes requiring issuers to disclose certain information about the diversity of the company’s board. [read post]
17 Nov 2009, 2:14 pm
Securities and Exchange Commission apparently agrees. [read post]
24 Jun 2007, 6:48 pm
The Securities and Exchange Commission is the government's agency created to protect investors, but it is instead busy lowering restrictions on investment firms and lending its weight on the side of firms sued by investors, including at the U. [read post]
31 Jan 2019, 1:00 am
As a public company, MGI was required to file a Form 8-K with the Securities and Exchange Commission (SEC) disclosing the agreements. [read post]
20 Jun 2020, 2:52 pm
Clayton has been serving as Trump’s chairman of the Securities and Exchange Commission and has never served as a prosecutor. [read post]
1 Mar 2022, 9:40 am
’s financial sanctions enforcement agency, OFSI. [read post]
14 Aug 2011, 7:28 pm
Dam, From the Gold Clause Cases to the Gold Commission: A Half Century of American Monetary Law, 50 U. [read post]
14 Aug 2011, 7:28 pm
Dam, From the Gold Clause Cases to the Gold Commission: A Half Century of American Monetary Law, 50 U. [read post]
24 Aug 2012, 12:30 am
– Pueblo http://t.co/mknh0Izv # SC: 34,000 exposed in U. [read post]
