Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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9 May 2013, 11:43 am
The Securities and Exchange Commission (“SEC”) relies upon the securities exchanges (e.g., the New York Stock Exchange) to enforce Section 15(g). [read post]
18 Dec 2009, 8:30 am
District Court for the Southern District of New York, U.S. v. [read post]
21 Jul 2017, 6:04 am
Pastuszenski, Goodwin Procter LLP, on Tuesday, July 18, 2017 Tags: California, Class actions, Jurisdiction, New York, PSLRA, Securities Act, Securities litigation, Shareholder suits, SLUSA, State law, Supreme Court CalPERS v. [read post]
14 Nov 2024, 9:01 pm
Securities and Exchange Commission (the “SEC”) and the regulation of asset managers more generally. [read post]
6 Mar 2017, 4:26 pm
What if a foreign plaintiff buys stock in a foreign company whose securities are cross-listed on U.S. exchanges? [read post]
29 Nov 2023, 9:01 pm
District Court for the Southern District of New York ruled that Ripple’s XRP token is not a security and did not constitute an investment contract when sold on the secondary market; this was the first court to decide that a digital asset challenged by the SEC was not a security.[10] ESG The SEC also continued its focus on ESG, with several new actions relating to what the agency viewed as misleading ESG claims. [read post]
24 May 2013, 10:09 am
§ 78j(b), and Securities & Exchange Commission (“SEC”) Rule 10b-5, 17 C.F.R. [read post]
7 Nov 2024, 2:30 pm
On Thursday November 7, the Securities and Exchange Commission produced an online compliance outreach program for registered investment adviser and investment companies. [read post]
24 Sep 2010, 7:00 am
Securities and Exchange Commission v. [read post]
28 Mar 2011, 7:02 pm
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
15 Aug 2011, 8:54 am
Gutpa, it will do so in federal court in New York and designate it as related to the other Galleon cases pending before Judge Rakoff. [read post]
7 Dec 2009, 12:43 pm
Court of Appeals in New York City has ruled. [read post]
18 Nov 2022, 6:30 am
Lu, Sabastian V. [read post]
18 Nov 2022, 6:30 am
Lu, Sabastian V. [read post]
9 Feb 2018, 5:06 am
Securities and Exchange Commission, on Wednesday, February 7, 2018 Tags: Blockchain, CFTC, Cryptocurrencies, Exchange Act, Financial technology, ICOs, Innovation, Investor protection, SEC, Securities enforcement, Securities fraud Cryptocurrency 2018 Posted by David E. [read post]
27 Mar 2023, 9:01 pm
The Supreme Court Takes On Slack Pirani The case arises out of the New York Stock Exchange’s (“NYSE”) rule, introduced in 2018, that allows companies to go public through a direct listing. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
6 Jul 2010, 5:17 pm
The tip was a bad one and the Securities and Exchange Commission sued for securities fraud. [read post]
12 Mar 2009, 9:19 am
He said when the Securities and Exchange Commission asked about it, he lied to the SEC. [read post]
