Search for: "In re: Clayton"
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21 Sep 2018, 6:00 am
In the letter to SEC Chairman Jay Clayton, the lawmakers urge the SEC to amend the proposal before it is finalized, even if it means re-proposing the rulemaking. [read post]
18 Sep 2018, 6:44 am
According to Chairman Clayton, the withdrawal of the letters followed a re-examination of the letters to facilitate discussion at the upcoming roundtable. [read post]
17 Sep 2018, 6:31 am
In the letter to SEC Chairman Jay Clayton, the lawmakers urge the SEC to amend the proposal before it is finalized, even if it means re-proposing the rulemaking. [read post]
17 Sep 2018, 3:13 am
In that blog, I gave some initial thoughts that related mainly to SEC Chair Clayton’s statement about informal Staff guidance in general. [read post]
6 Sep 2018, 6:01 am
There seems to be little incentive for President Trump to speedily re-fill that Democratic spot. [read post]
31 Aug 2018, 8:46 am
As a result, Eli Clayton, 22, and Taylor Robertson, 27, lost their lives, while another 11 people sustained injuries. [read post]
20 Aug 2018, 6:37 am
In re C.S., 2007-Ohio-4919 (Juvenile courts are premised on different goals than criminal courts, and instead focus on the state’s role to protect wayward children, save them from criminal prosecution, and rehabilitate them.) [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
10 Jul 2018, 5:17 pm
., and In re Munchee, Inc.). [read post]
2 Jul 2018, 7:41 am
My Take I think it’s great that the current SEC is willing re-evaluate its rules and fix them to make them work better. [read post]
27 Jun 2018, 6:05 am
Under Chair Clayton, the SEC seems to be increasing using federal courts instead of the administrative proceedings. [read post]
15 Jun 2018, 7:59 am
But they’re not bound by a jury verdict. [read post]
11 Jun 2018, 7:07 am
He added that if individuals planning a public token offering “take the responsibility our laws require…we’re happy to help you do that public offering. [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Dodd-Frank Act, Federal Reserve, Financial crisis, Financial institutions, Financial regulation, Hedge funds, Hedging, Investor protection, Moral hazard, Private equity, Proprietary trading, Risk, Securities regulation, Systemic risk, Volcker Rule Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule Posted… [read post]
7 Jun 2018, 9:30 pm
Clayton said that the SEC would not be “doing violence” to the definition of a security to accommodate ICOs. [read post]
16 May 2018, 3:30 am
Securities, re-branded as tokens, were being sold to anyone that knew how to spend cryptocurrency in unregistered offerings called Initial Coin Offerings (ICOs). [read post]
30 Apr 2018, 3:00 am
Legal Proceedings Disclosure: What If You’re the Plaintiff? [read post]
16 Apr 2018, 4:48 pm
Among the many problems that have come to light in the current cryptocurrency craze have been problems relating to celebrity endorsements for initial coin offerings (ICO). [read post]
15 Apr 2018, 9:01 pm
Meat Export Federation Paul Clayton, U.S. [read post]
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 Mar 2018, 3:34 pm
We’ll see, but as far as I’m concerned, we’re moving forward. [read post]
