Search for: "In Re Securities and Exchange Commission"
Results 361 - 380
of 2,535
Sorted by Relevance
|
Sort by Date
13 Jan 2017, 9:18 pm
United States Securities and Exchange Commission (10th Cir., December 27, 2016) (holding that SEC ALJs are inferior officers rather than employees, and therefore subject to the Constitution's appointments clause; the ALJ presiding over Bandimere's case held his office unconstitutionally)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case, res judicata, or collateral… [read post]
25 Apr 2024, 6:41 am
To illustrate this point, we’re summarizing highlights of the hundreds of FOIA requests submitted by media organizations to the Food and Drug Administration and the Securities and Exchange Commission during March (the most recent month for which information is available). [read post]
15 Dec 2016, 6:42 pm
Securities and Exchange Commission (10th Cir., December 6, 2016) (affirming the SEC's disciplinary suspension of McCune (resulting in his being 'permitted to resign' from his employment) because he failed to ‘observe high standards of commercial honor and just and equitable principles of trade’)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case,… [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
16 Mar 2010, 7:30 am
Look no further than Vinod Gupta, who, yesterday evening, became the Securities and Exchange Commission’s poster child for perks run amok. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
6 Oct 2021, 1:56 pm
You may be an eligible whistleblower entitled to a reward if you voluntarily provide original information to the Securities and Exchange Commission (SEC) or other federal agency that leads to the SEC’s issuance of sanctions of one million dollars ($1,000,000) or more. [read post]
14 Jul 2014, 2:43 pm
Private equity firms were put on notice last year that they may be subject to registration as broker dealers when David Blass, head of the Division of Markets and Trading at the Securities and Exchange Commission (“SEC”), provided his insights at an industry conference. [read post]
12 Oct 2018, 12:08 pm
As long as investors can be convinced they can earn a reward without risk, Ponzi schemes will find victims.Ponzi Schemer Paid Priests for PrayersAn investment advisor charged by the Securities and Exchange Commission with running a multi-million dollar Ponzi scheme spent close to a million dollars on prayers from Hindu priests in order to keep the feds at bay. [read post]
19 Mar 2010, 9:58 am
By selling privately to high net worth investors, promoters avoid having to register the securities with the Securities and Exchange Commission, and the regulatory scrutiny that would come with registration. [read post]
26 Oct 2009, 3:49 pm
Apparently, Overstock.com (NASDAQ: OSTK) is going to stubbornly tough it out and force the Securities and Exchange Commission to take enforcement action to make its financial reports comply with Generally Accepted Accounting Principles (GAAP). [read post]
11 Feb 2017, 6:50 am
Tags: Africa, Dodd-Frank, Securities and Exchange Commission Good riddance (if they’re indeed going) to the Dodd-Frank conflict minerals rules is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
30 Mar 2010, 5:00 am
The opinion noted that under federal law, companies must register with the Commission to the extent having "500 or more record holders of a class" of equity securities and that in counting equity securities, "DTC does not count as a single holder of record. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
26 Jul 2011, 10:32 am
Sterling Holding Co., LLC, 544 F.3d 493, 502 (3d Cir. 2008) (holding that National Cable requires deference to the Security and Exchange Commission’s amendments to a regulation over a prior contrary judicial interpreta- tion); see also Udall, 380 U.S. at 16–17 (“When the con- struction of an administrative regulation rather than a statute is in issue, deference is even more clearly in order. [read post]
21 Nov 2007, 8:34 am
Securities and Exchange Commission not to roll back investors' proxy access rights. [read post]
16 Nov 2015, 3:58 pm
In a long-awaited move, on October 30, 2015 the Securities Exchange Commission (SEC) finally adopted a set of rules mandated by the 2012 JOBS act. [read post]
4 Mar 2011, 7:04 am
(In re Cyphermint, Inc.) [read post]
20 Sep 2011, 5:18 am
DOL said that, consistent with the President's January executive order on regulation, the re-proposal will be designed to inform judgments, ensure an open exchange of views and protect consumers while avoiding unjustified costs and burdens. [read post]
15 Aug 2014, 5:00 am
The Plaintiffs next argue that the Arbitration Bylaw is “contrary to the SEC’s policies underlying federal securities laws,” particularly the anti-waiver provision of Section 29(a) of the Securities Exchange Act, and “frustrates shareholders’ statutory rights to attorneys’ fees and expenses pursuant to the Private Securities Litigation Reform Act of 1995 [], 15 U.S.C. [read post]
