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21 Sep 2015, 2:41 pm
” Recent changes in securities regulations now permit the general solicitation of accredited investors under certain circumstances. [read post]
12 Oct 2018, 7:48 am
That is hardly a formula for securing robust buy in. [read post]
23 Nov 2021, 1:33 pm
The Report quotes the acting head as saying that “We hope the awards made this year continue to encourage whistleblowers to report specific, timely, and credible information to the Commission, which will enhance the agency’s ability to detect wrongdoing and protect investors and the marketplace. [read post]
25 Feb 2013, 1:43 pm
The Staff will give a higher priority to private fund advisers that it believes present a greater risk to investors relative to the rest of the registrant population or where there are indicia of fraud or other serious wrongdoing. [read post]
22 Mar 2018, 4:31 pm
The awards are to be paid under the separate investor protection fund that Congress created in the Dodd-Frank Act. [read post]
3 Oct 2012, 8:14 am
First lesson for security interests: time is everything. [read post]
7 Jun 2015, 7:21 pm
Together, we are partners in upholding an international, rules-based order that ensures global peace, security, and prosperity. [read post]
27 Oct 2017, 2:16 am
In July, the SEC issued an investor alert warning about the risk of ICOs. [read post]
12 Jan 2011, 3:22 pm
283, courts may grant an injunction in a patent case “to prevent the violation of any right secured by patent, on such terms as the court deems reasonable. [read post]
22 Mar 2012, 8:00 am
" In that article reprinted in Corporate Counsel, Saranac Hale Spencer details the ruling in Sealord Holdings v. [read post]
3 Jan 2022, 12:39 pm
The 31 SPAC-related securities suit filings represent approximately 14.7% of all federal court securities class action lawsuits filed in 2021. [read post]
20 Jan 2011, 12:31 pm
The Commission made predictive judgments about Rule 14a-11’s economic consequences based on the available evidence and its expertise, and concluded that, on balance, it was in the interests of shareholders and for the protection of investors to adopt the rule. [read post]
3 Jan 2023, 1:47 pm
There were 196 federal court securities class action lawsuits filed in 2022, representing about a 10% decline in the number federal court securities suits compared to 2021 (when there were 218 securities class action lawsuits filed). [read post]
7 Sep 2010, 2:00 pm
However, as noted by the Court, such language is not only customary for rights plans, but is based on a known standard which sophisticated investors must navigate as a regular course of doing business due to provisions like Section 13(d) of the Securities Exchange Act of 1934, and Regulation 13D, which contains similar language. [read post]
16 Aug 2022, 8:02 am
The client may wish to hold the NFT in an entity such as a corporation. [read post]
7 Aug 2011, 11:58 am
The right granted to Lehman was a security right over assets purchased with the note holders’ money, and, from the very inception, the priority, and the extent of the benefits, enjoyed by Lehman in respect of the security were contingent upon there being no event of default.Indeed, in a concurring opinion, Lord Walker observed that the note holders were substantively the only party who contributed real assets, in many cases the pension funds of hard-working citizens. [read post]
19 Sep 2023, 7:58 am
It was early days for video, but he liked what we were doing, and he formed a partnership with The Underground and became our main investor. [read post]
19 Feb 2024, 9:01 pm
Securing these services ahead of time will be a worthwhile investment if a concerted campaign is launched against a corporation or its leadership team. [read post]
8 Aug 2018, 2:00 am
The key here is that investors must be at least a 50 percent owner of the company they invest in. [read post]
18 Dec 2009, 10:30 am
The SEC is getting tough, and has demonstrated here that it will allow no breach of laws and investor protection, no matter how old the case and how messy the other circumstances are for the ultimate client.This case points out the long-tail impact of a bad audit, in causing distress to accounting firms, many years after the audit has been completed. [read post]
