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9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
9 Apr 2019, 2:26 pm
” The context of her questioning was the concern that the Securities and Exchange Commission might be willing to succumb to extremist pressure and, for the first time, allow public companies to force defrauded investors into private arbitration to resolve securities disputes. [read post]
7 Sep 2022, 9:01 pm
HFCAA, among other things, also mandates that, after the PCAOB makes such a determination, the Commission require issuers who retain accounting firms in such jurisdiction to make specified disclosures in their annual reports and prohibit trading in those issuers’ securities if they are identified by the Commission as using such accounting firms for three consecutive years.[10] On December16, 2021, the PCAOB formally determined that, due to the positions taken by the… [read post]
13 Jan 2021, 3:00 am
Fish & Game Commission (1997) 16 Cal.4th 105; Health First v. [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]
22 Oct 2013, 10:34 am
Additional documents prepared for the Forum may be accessed here:Provisional agenda and annotations E F S R A CBackground note by the SecretariatE F S R A CConcept note prepared by the Working Group on the issue of human rights and transnational corporations and other business enterprisesE F S R A CThe Concept Note Prepared by the Working Group on the issue of human rights and transnational corporations and other business enterprises (A/HRC/FBHR/2013/3 ) provides in… [read post]
25 Jan 2024, 4:06 am
Malware planted on the section of the PCA’s website devoted to the China–Philippines maritime boundary dispute posed a potential risk to visitors, causing the PCA’s website to go off-line for a week. [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]
8 Jan 2014, 10:04 am
Gorman from Dorsey & Whitney’s DC office, and former Senior Counsel at the Division of Enforcement of the Securities and Exchange Commission, where he helped lead FCPA enforcement. [read post]
3 Jun 2018, 2:18 pm
Securities and Exchange Commission (SEC) (which issued, on March 7, 2018, its own broad and sweeping statement about the dangers potential illegalities of exchange like crypto-trading facilities). [read post]
13 Sep 2009, 10:01 pm
Batchelder, III, offers his views about Securities and Exchange Commission rules and a new statute that aim to cabin pay to corporate titans on The Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
13 Jul 2018, 7:01 pm
Special Counsel Robert Mueller moved with his usual combination of patience and strict operational security, and even though Acting Attorney General Rod Rosenstein briefed President Trump on the coming action before the Leaker in Chief left town, the matter held until Rosenstein disclosed it at a Justice Department press conference. [read post]
1 Jan 2024, 9:01 pm
Securities and Exchange Commission to investigate and bring civil enforcement actions against foreign officials for seeking or accepting a bribe. [read post]
30 Mar 2010, 10:06 am
(a) A consensus has developed regarding the standard Gartenberg set forth over 25 years ago: The standard has been adopted by other federal courts, and the Securities and Exchange Commission’s regulations have recognized, and formalized, Gartenberg-like factors. ... [read post]
6 Jul 2010, 5:17 pm
The tip was a bad one and the Securities and Exchange Commission sued for securities fraud. [read post]
11 Nov 2016, 4:07 am
” Adopting certain language verbatim from the Securities and Exchange Commission’s (“SEC”) amicus brief, the Second Circuit noted that “ ‘atypical language in the lock-up agreement, or other facts and circumstances outside of the lock-up agreement,’ may trigger a Section 13(d) ‘group’ finding. [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
4 May 2021, 11:11 am
Securities and Exchange Commission and the Commodity Futures Trading Commission as effective models. [read post]
4 May 2021, 11:11 am
Securities and Exchange Commission and the Commodity Futures Trading Commission as effective models. [read post]
7 Sep 2011, 1:07 pm
S. [read post]
