Search for: "SEC v. Levy"
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26 Oct 2008, 8:54 pm
In Levy v. [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… [read post]
4 Feb 2025, 2:00 am
SEC v. [read post]
14 Nov 2015, 4:07 pm
In Moses v. [read post]
28 Jan 2014, 4:22 pm
The SEC’s authority to pursue these actions and levy sanctions is an open question – neither Dodd-Frank nor its implementing regulations expressly provide the SEC with authority to police retaliatory conduct. [read post]
4 Apr 2025, 6:30 am
Cheffins (University of Cambridge) and Bobby V. [read post]
4 Apr 2025, 6:30 am
Cheffins (University of Cambridge) and Bobby V. [read post]
10 Jul 2024, 9:01 pm
” For me, it was my experience with the late Professor John Levy and participating in the legal aid clinic that he ran that first showed me how we can use our law degrees to not only protect, but also to uplift others. [read post]
26 Nov 2024, 9:05 pm
This is no doubt the kind of significant cost-cutting that DOGE aspires to, but does it really count if the costs are simply shifted to a private-sector regulator who then levies an inspection fee on the regulated entities? [read post]
10 Dec 2021, 4:59 am
Securities and Exchange Commission, on Friday, December 3, 2021 Tags: Accounting standards, Foreign issuers, Holding Foreign Companies Accountable Act, International governance, PCAOB, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation SEC’s New Approach to No-Action Requests for Shareholder ESG Proposals Posted by Era Anagnosti, Maia Gez, and Scott Levi, White & Case LLP,… [read post]
7 May 2019, 1:54 pm
The case, Frasier v. [read post]
9 Jul 2021, 7:07 am
On the last day of the month, it levied $70 million in sanctions on Robinhood Financial, the largest financial penalty ever imposed by FINRA. [read post]
7 Oct 2022, 6:08 am
The panel went on to affirm that one of the appellants used false zip codes to appear as a retail investor and confirmed that the penalties and injunctions imposed were within the district court's discretion (SEC v. [read post]
10 Jul 2017, 10:40 am
Khouri (State Taxation - Tobacco)Wilson v. [read post]
28 Jun 2010, 11:28 am
In Edmond v. [read post]
1 Nov 2024, 6:00 am
That claim was also properly dismissed because no claim for emotional harm will lie for breach of a duty based on contract (Wehringer v Standard Sec. [read post]
1 Nov 2024, 6:00 am
That claim was also properly dismissed because no claim for emotional harm will lie for breach of a duty based on contract (Wehringer v Standard Sec. [read post]
26 Dec 2024, 7:51 am
Regulatory Rollback and Legal Challenges The Supreme Court’s decision in SEC v. [read post]
16 Nov 2014, 10:15 am
After Dismissal Court Lacked Subject-matter Jurisdiction Magloire v. [read post]
2 Aug 2024, 1:51 pm
The Four Decisions In one case, SEC v. [read post]
