Search for: "SEC v. Current Financial Services, Inc."
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5 Jul 2023, 9:01 pm
That case is currently pending. [read post]
14 May 2023, 9:01 pm
Background Limelight provides network service for delivery of digital media content and software. [read post]
9 May 2023, 9:01 pm
There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. [read post]
10 Apr 2023, 9:01 pm
” The report suggests these concerns may derive from three different qualities of sustainable business information and reporting: control v. influence; quantitative v. qualitative; and historical v. forward-looking. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
13 Feb 2023, 7:28 am
Nelson, J.D.The Republican leaders of the House Financial Services Committee’s Subcommittee on Capital Markets held two hearings on a set of discussion drafts aimed at promoting a package of capital formation bills. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
1 Feb 2023, 9:01 pm
The current logic for that exemption, more or less, is that if investors are accredited, there is no need for any baseline regulatory disclosure obligations. [read post]
31 Jan 2023, 9:31 am
PAJ, Inc. v. [read post]
28 Jan 2023, 7:32 am
In response to the rapid growth of market practices with respect to ESG investing to assess and manage climate transition risks in financial markets, the OECD Committee on Financial Markets (CMF) has developed a substantive body of work that provides analysis on challenges with respect to current market practices, and proposes policy considerations to improve them (OECD, Policy guidance on market practices to strengthen ESG investing and finance a climate transition. p.… [read post]
23 Jan 2023, 9:01 pm
The SEC estimates that retail brokers currently route more than 90% of marketable orders (orders priced such that they might execute immediately) from individual investors to a small group of off-exchange wholesalers. [read post]
3 Jan 2023, 1:47 pm
The current filing patterns can also inform the insurers’ efforts to try to determine the profit-making price for their insurance products. [read post]
25 Dec 2022, 2:14 am
This is a patent case — “the invention in controversy [being] a system of electrical distribution, whereby a direct current consumption circuit may be supplied from an alternating source. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
1 Nov 2022, 8:38 am
Even the Chamber of Digital Commerce notes in its amicus brief for SEC v. [read post]
28 Oct 2022, 6:32 am
”[9] The Supreme Court reiterated this definition in Basic v. [read post]
25 Oct 2022, 10:46 am
SEC v. [read post]
11 Oct 2022, 7:16 am
Two of the largest proxy firms, Institutional Shareholder Services Inc. and Glass Lewis & Co. [read post]
26 Sep 2022, 7:59 pm
District Court for the Southern District of Indiana, Indianapolis Division (EEOC v. [read post]
