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23 Jan 2023, 9:01 pm
Order Competition Rule Of the four proposals, the proposed Order Competition Rule is likely to be the most controversial and impactful. [read post]
22 Jan 2023, 6:59 pm
By: Francis G.X. [read post]
15 Jan 2023, 2:35 pm
One includes the Seaboard Report, where the SEC articulated a framework for evaluating cooperation by companies.[21] The report identified four broad measures of a company’s cooperation: self-policing prior to the discovery of the misconduct, self-reporting of misconduct when it is discovered, remediation, and cooperation with law enforcement authorities.[22] Another key document, the Penalties Statement, elab [read post]
9 Jan 2023, 9:01 pm
(now known as Walgreens Boots Alliance Inc.) and investors reached a $105 million settlement for alleged fraudulent conduct in 2014. [read post]
5 Jan 2023, 2:22 pm
In truth –per the investor complaint – the platform was poorly received by the market and caused the company to write-down nearly $1 billion in charges related to unsold devices and lay off approximately 4,500 employees, totaling about 40% of its total workforce. [read post]
17 Dec 2022, 4:40 am
Sundance Inc. [read post]
30 Nov 2022, 2:13 pm
”[6] The Ninth Circuit in In re BofI Holding, Inc. [read post]
3 Nov 2022, 11:00 pm
In some circumstances, foreign investors even have tax benefits (compared to local investors) for trading credits that are documented in the form of securities. [read post]
13 Oct 2022, 1:55 pm
Supreme Court’s 2021 decision in Goldman Sachs Group Inc. v. [read post]
10 Oct 2022, 4:34 am
The Class B limited partner, an entity named Crabapple, Inc., was to serve as representative of the Class A foreign investors. [read post]
26 Jul 2022, 10:44 am
HyperDraft’s Tony Thai knew he could produce a better method of practicing law and producing legal documents. [read post]
17 Jul 2022, 3:45 am
Balancing short-term benefits against long-term costs One bright sunny day, Jack, a junior lawyer, discovers what could be a problem—Great Idea Inc., the big-potential startup corporate client for which he is working, does not have any organizational records. [read post]
16 Jun 2022, 9:05 pm
Our bipartisan Working Group is comprised of leading academics, former Commission officials, and market participants who have studied and overseen development of SEC rules for decades, including: Fifteen former senior SEC officials, including four SEC Chairs, five SEC Commissioners, five SEC General Counsel, and four Directors of the SEC’s Division of Corporation Finance; Seventeen senior scholars of corporate, securities and administrative law, as well as accounting and… [read post]
8 Jun 2022, 9:01 pm
In a recent report about last year’s meme stock events, the SEC staff described four areas to consider in the interest of promoting our three-part mission in the equity markets overall. [read post]
3 Jun 2022, 6:49 am
It remains to be seen whether the government’s latest moves will restore investor confidence in the economy. [read post]
19 May 2022, 6:03 am
Sources: Management Science Associates Inc., state revenue departments, author calculations. [read post]
20 Apr 2022, 12:42 pm
(CRD#:5685) of Paramus, NJ, and Metlife Securities Inc. [read post]
15 Mar 2022, 10:35 am
The SEC issued four opinions on appeals from FINRA’s National Adjudicatory Council (NAC). [read post]
11 Mar 2022, 1:05 pm
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
8 Feb 2022, 7:29 am
President Xi’s “common prosperity” crackdowns, alienation of trading partners and Zero-Covid policy are already prompting investors to rethink China. [read post]
