Search for: "Person v. Clayton"
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10 Jul 2018, 3:57 am
The FAQs detail OFAC’s goal to combat terrorism and criminal exploitation of digital transactions, as well as compliance obligations in dealing with blocked persons or property. [read post]
27 Jun 2018, 8:08 am
Such a position would entail a facts and circumstances determination, and taking such a position is likely a risky strategy based on recent comments from SEC Chairman Clayton. [read post]
26 Jun 2018, 2:46 pm
Regulation Best Interest would require broker-dealers and affiliated persons to act in the best interest of a retail customer when making a recommendation of any securities transaction or investment strategy involving securities. [read post]
22 Jun 2018, 11:53 am
Supreme Court in SEC v. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
13 Apr 2018, 6:00 am
U.S. v. [read post]
5 Apr 2018, 8:24 am
Chairman Clayton expressed his support for new technological innovations in the financial markets, while emphasizing that these innovations should not be made at the expense of protecting investors and markets. [read post]
12 Mar 2018, 12:42 am
I fully support Chairman Clayton and Commission staff in their efforts to conduct a comprehensive investigation to understand the full scope of the intrusion and how to better manage cybersecurity risks related to the SEC’s operations. [read post]
26 Feb 2018, 6:33 am
No person-specific rights. [read post]
7 Feb 2018, 2:09 pm
The Howey test, named after the case in which the test was first applied, Securities and Exchange Commission v. [read post]
6 Feb 2018, 10:00 am
Benjamin Wittes and Zoe Bedell noted Fields v. [read post]
2 Jan 2018, 5:08 pm
The world of directors’ and officers’ liability is always dynamic, but 2017 was a particularly eventful year in the D&O liability arena. [read post]
12 Dec 2017, 4:36 pm
” Speaking at a conference in Washington a few days later, SEC Chairman Jay Clayton reinforced the Cyber Unit’s ICO mission and jurisdiction, noting that: “ . . . [read post]
8 Dec 2017, 6:40 pm
Jonell Lloyd, No. 115,834 (Sedgwick)Sentencing appeal (after remand)Clayton J. [read post]
29 Nov 2017, 4:58 am
Calabresi is the Clayton J. [read post]
16 Nov 2017, 9:01 pm
The Supreme Court, in Powell v. [read post]
3 Nov 2017, 10:51 am
Clayton, et al. v. [read post]
2 Oct 2017, 4:50 pm
2005: SEC v. [read post]
5 Sep 2017, 6:18 am
Fryman v. [read post]
4 Aug 2017, 6:40 am
The footnote explained that[b]efore opening statements, the court administered oaths to two persons identified by the court reporter as Investigator Kelly Phillips and Investigator Marsha Phillips. [read post]
