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SEC says Musk’s unvetted tweet is in contempt of court
27 Feb 2019, 6:47 am by John Jascob
The SEC counters that a violation need not be willful in order to find contempt and that Musk’s claim is undermined by the two-day expiration date on preapprovals. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
The SEC’s Authority to Enforce the Bank Secrecy Act is Challenged
10 Jul 2018, 1:38 pm by Robert Loeb
The Pending SEC v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Florida Court Provides a Lesson in Nuncupative and Notarial Wills
30 Sep 2015, 4:23 pm by Charles (Chuck) Rubin
Malliero v. [read post]
Rubin on Tax - http://rubinontax.floridatax.com/
Securities Industry Commentator by Bill Singer Esq
15 Nov 2019, 2:35 am
In the Matter of the Arbitration Between Lee Tockman, Claimant, v. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Financial Derivatives: Credit and Mortgage Products in SEC v. Goldman Sachs & Co.
28 Apr 2010, 8:00 am by Benjamin Hager
  We previously discussed the SEC’s allegations. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Moore v. Payson Petroleum Grayson: Investors in 3-Well Program Denied Transfer of Venue
16 Mar 2018, 12:00 am by Rachel Neumann
SEC v. [read post]
The Race to the Bottom - https://www.theracetothebottom.org/blog/
SIFMA Comments to SEC on Dodd-Frank Uniform Fiduciary Standard for Brokers and Advisers
2 Sep 2010, 5:01 pm by James Hamilton
In a comment letter to the SEC, SIFMA said that Dodd-Frank driven SEC regulations establishing a uniform federal fiduciary standard for brokers and advisers should be broadly guided by the dual principles of individual investor protection and individual investor choice. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
9 Nov 2023, 9:01 pm by renholding
I arrived at the SEC in October 2006 to serve as counsel to Commissioner Paul Atkins. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
In Approving Settlement of SEC Enforcement Action, Federal Judge Urges Congress to Empower SEC to Recover More for Investors
2 Jul 2012, 10:14 am by James Hamilton
SEC v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Looking Past the Labels: Bank’s Disgorgement Payment to SEC Not Necessarily Excluded from D&O Coverage
26 Jul 2013, 12:04 pm by Darren S. Teshima
Morgan Securities Inc., et al. v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Could the Court Look to the SEC to Regulate Advisory Fees?: , Argument Recap
3 Nov 2009, 11:33 am
See the Jones v. [read post]
SCOTUSblog - http://www.scotusblog.com/
Congress Expands SEC Disgorgement Authority
5 Jan 2021, 11:55 am by Kevin Harnisch (US), Mark Oakes (US) and Vijay Rao (US)
Congress made this significant expansion in the SEC’s disgorgement authority in response to the Supreme Court’s decision in Kokesh v. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
SEC Releases Study on Cross-Border Private Securities Litigation
12 Apr 2012, 1:08 am by Kevin LaCroix
Supreme Court’s decision in the Morrison v. [read post]
The D & O Diary - http://www.dandodiary.com/
What to expect from the SEC in the year ahead
1 May 2013, 8:10 am by Doug Cornelius
He was not willing to place a wager on which option will come to fruition, if any. [read post]
Compliance Building - http://www.compliancebuilding.com
Supreme Court Decision Casts Doubt on SEC’s Climate Proposal and Other Regulatory Initiatives
12 Jul 2022, 6:28 am
In our view, the SEC is committed to adopting broad and extensive climate-related disclosures and is willing to face legal challenges to its final rule. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Supreme Court Decision Casts Doubt on SEC’s Climate Proposal and Other Regulatory Initiatives
12 Jul 2022, 6:28 am
In our view, the SEC is committed to adopting broad and extensive climate-related disclosures and is willing to face legal challenges to its final rule. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Government files merits brief in SEC ALJ case
1 Sep 2023, 12:43 pm by Unknown
While the government urged the justices to reverse the Fifth Circuit’s decision against the SEC in its entirety, portions of the government’s merits brief suggest the possibility of a split decision from the justices (SEC v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Summary of the SEC’s New Proposed Rules Impacting Private Funds
23 Feb 2022, 7:49 am by Alexander J. Davie
The audit must be distributed “promptly”, though the SEC declined to provide a fixed deadline. [read post]
Strictly Business - http://www.strictlybusinesslawblog.com/
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act
14 May 2019, 11:24 am by Anitra T. Cassas, Emily P. Gordy, Cheryl Haas and Amanda J. Goldstein
., et al. v. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act
14 May 2019, 11:24 am by Anitra T. Cassas, Emily P. Gordy, Cheryl Haas and Amanda J. Goldstein
., et al. v. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/