Search for: "Matter of Trader"
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11 Mar 2024, 7:14 am
He also has been registered as a Securities Trader since July 2023. [read post]
2 Mar 2024, 11:48 am
Judkis matter-of-factly describes how “Everything else that remains in the store in Northwest D.C., which is not much, is under plexiglass: Dawn dish soap, L’Oreal shampoo, MiraLax, a handful of Clairol root touch-up hair dye kits, flu season combo packs of DayQuil and NyQuil. [read post]
28 Feb 2024, 2:08 am
The underlying facts of the case are as follows: The defendant, an online trader based in Spain, offered diving equipment for sale in several EU member states, including Germany. [read post]
21 Feb 2024, 12:37 am
These rules on Unfair Clauses do not apply to terms defining the main subject matter of the contract or the adequacy of the price for the data. [read post]
19 Feb 2024, 4:00 am
” The SEC argued that Almagarby was a dealer, and not entitled to assert the “trader” exception, because of the “kind” and “amount” of transactions he engaged in.Almagarby argued that the district court should not have relied on precedent that focused on the broader definition of “dealer” under the Securities Act (no trader carve-out). [read post]
9 Feb 2024, 5:40 am
No matter what happens tomorrow night, I'm so proud of her. [read post]
3 Feb 2024, 10:59 am
Glynn Lunney: why personalization matters? [read post]
21 Jan 2024, 9:05 pm
SEC, 446 U.S. 680 (1980). [8] Press Release, SEC, SEC Charges Ontrak Chairman Terren Peizer With Insider Trading (Mar. 1, 2023); In the Matter of Sheng Fu and Ming Xu, Securities Act Release No. 11104, Exchange Act Release No. 95847 (Sep. 21, 2022). [9] In the Matter of Sheng Fu and Ming Xu, Securities Act Release No. 11104, Exchange Act Release No. 95847 (Sep. 21, 2022). [10] See Karen E. [read post]
15 Jan 2024, 10:30 pm
In any event, the burden rests on traders challenging the measure to present substantial evidence that an advertising ban indeed favours domestic fossil goods over those from other EU Member States. [read post]
1 Jan 2024, 2:29 pm
Or who pays the investment fees, for that matter. [read post]
30 Dec 2023, 5:40 pm
Keynote: Justice and injustice in foreign judgments – does terminology matter? [read post]
19 Dec 2023, 12:55 pm
The decision is of particular interest to New Zealand consumers and manufacturers of goods that are supplied in New Zealand, as well as traders advertising their products to New Zealanders. [read post]
18 Dec 2023, 2:48 pm
This update includes the following: CFM Items Q4 Matters Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Notable Regulatory & Other Items from 2023 Compliance Calendar **** CFM Items We are pleased to welcome Jon Tong as a Senior Associate in our Funds practice group. [read post]
14 Dec 2023, 10:30 pm
From the consumer’s perspective, greenwashing is not merely a matter of preference; it is a question of credibility. [read post]
8 Dec 2023, 8:50 am
In other words, even if administrative penalties deprive people of private property without judicial process, perhaps they are permissible as a condition on the public privilege to be a securities trader. [read post]
5 Dec 2023, 4:53 am
“Days before the attack, traders appeared to anticipate the events to come,” they wrote, referencing short interest in the MSCI Israel Exchange Traded Fund that “suddenly, and significantly, spiked” on Oct. 2. [read post]
4 Dec 2023, 9:22 am
California-related matters — she should have been disqualified from this one as well? [read post]
28 Nov 2023, 9:15 pm
This Proskauer blog reminds us why the litigation matters: The Panuwat decision does not appear to break new ground under the misappropriation theory of insider trading in light of the particular facts alleged. [read post]
27 Nov 2023, 9:01 pm
That rule provides an affirmative defense to an allegation of insider trading if, among other things: (1) the trades are made pursuant to a written plan, (2) the plan is entered into when the trader did not have material nonpublic information, and (3) the plan does not permit the trader to exercise subsequent influence over how, when, or whether to effect the transactions. [read post]
9 Nov 2023, 9:01 pm
”[6] Thus, it is important for a person to know whether he or she is a dealer and, if so, whether an exception like the trader exclusion is applicable. [read post]
