Search for: "SEC v. Tier"
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22 Oct 2013, 4:05 am
In Blackburn v. [read post]
9 Oct 2011, 10:07 am
Applying the US Supreme Court’s reasoning in the 1991 Virginia Bankshares v. [read post]
25 Feb 2011, 3:51 pm
Here is the abstract: In Free Enterprise Fund v. [read post]
3 Apr 2017, 8:20 am
However, the court requested additional documentation from the SEC regarding the issue of disgorgement, and imposed the minimum third-tier penalty on the firm’s principal (SEC v. [read post]
24 Nov 2017, 6:30 am
The court also granted the SEC's request for a third-tier civil penalty against Sample. [read post]
23 Jan 2023, 9:01 pm
The SEC suggests that it expects qualifying auctions would result in better execution. [read post]
22 Jan 2021, 7:56 am
The new plan would replace the existing, decades-old, tiered system in which consolidated public data feeds are distributed through three equity data plans. [read post]
9 Aug 2015, 8:24 pm
Courts have also struggled with this ambiguity (see e.g., Somers v. [read post]
1 Feb 2023, 9:01 pm
Before I begin, let me make my standard disclaimer – the views I express today are my own and do not necessarily represent the views of the SEC or my fellow Commissioners. [read post]
18 Jul 2009, 7:31 am
Khuzami has also taken steps toward eliminating one entire tier of supervisors within the Enforcement Division in an effort to reduce the levels of review. [read post]
29 Nov 2009, 6:12 pm
V. [read post]
7 Dec 2021, 11:53 am
In Hand v. [read post]
10 Jan 2020, 6:53 am
Finally, Alpine maintains that the district court abused its discretion through the sheer size of the penalty (SEC v. [read post]
1 Mar 2023, 3:20 am
In a couple of recently proposed rule changes posted for notice on the SEC website, Nasdaq has made immediately effective changes to modernize some of the provisions governing fees that the exchange charges companies. [read post]
2 Mar 2011, 12:47 pm
Rajaratnam and the parallel SEC enforcement action, SEC v. [read post]
22 Nov 2010, 6:50 am
SEC is currently piloting single-stock circuit breakers until December 10, 2010. [read post]
5 Oct 2021, 7:49 am
The petitioner in BofI Holding, Inc. v. [read post]
1 Apr 2009, 9:45 pm
James V. [read post]
30 Mar 2011, 7:00 am
The credit risk associated with a second-tier security, which would continue to be limited to three percent of total fund assets, would differ from that associated with first-tier securities only to a small degree. [read post]
13 Feb 2023, 7:28 am
Wagner began questioning the panel of witnesses by citing a recent speech by SEC Commissioner Caroline Crenshaw while asking whether it is easier or more difficult for businesses to raise money. [read post]
