Search for: "Frank v. Securities"
Results 361 - 380
of 1,993
Sorted by Relevance
|
Sort by Date
4 Apr 2015, 3:32 am
The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process.The SEC charged Houston-based global technology and engineering firm KBR Inc. with violating whistleblower protection Rule 21F-17 enacted under the Dodd-Frank Act. [read post]
31 Jul 2024, 10:02 am
Co. v. [read post]
25 Jul 2011, 2:00 am
SEC Adopts Final Rules Implementing Whistleblower Provisions of Dodd-Frank. [read post]
16 Apr 2014, 5:33 am
The Dodd-Frank act, passed by Congress in 2012, created an Investor Advisory Committee within the SEC to offer recommendations to the SEC on various issues such as regulation of securities products, regulatory priorities, fee structures, and other initiatives to protect investor interests. [read post]
4 Jan 2020, 6:37 am
This post is based on his Fried Frank memorandum. [read post]
15 Jul 2010, 12:44 pm
As Judge Levin pointed in Morefield v. [read post]
8 Oct 2021, 5:00 am
In the case of Franks v. [read post]
21 Mar 2013, 6:19 am
Raul v. [read post]
5 Jan 2023, 6:17 pm
Lee v. [read post]
20 Mar 2007, 12:48 am
" Lawrence v. [read post]
28 May 2009, 8:23 am
United States v. [read post]
17 Jan 2018, 6:27 am
The appeals court did not need to weigh in on the interplay of Dodd-Frank and SOX, however, because, among many other problems with the CEO’s theory of liability, the complained-of conduct was not fraud in the first place (Verfuerth v. [read post]
16 May 2011, 7:32 am
Section 921 of Dodd-Frank gives the Securities and Exchange Commission similar authority regarding agreements between consumers and brokers. [read post]
30 Nov 2012, 2:00 am
The staff at the Securities and Exchange Commission recently released the 2012 Annual Report on the Dodd-Frank Whistleblower Program. [read post]
16 Apr 2014, 2:43 pm
Nat’l Assoc. of Mfrs v. [read post]
16 Jun 2012, 6:33 am
FRANK SAURO IN THE MATTER OF BUDD LARNER, P.C., __ N.J. [read post]
1 Oct 2017, 4:24 pm
Leidos, Inc. v. [read post]
9 Sep 2015, 6:08 am
Nat’l Ass’n. of Mfrs. v. [read post]
9 Sep 2024, 6:30 am
In Hyde Park v. [read post]
