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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/
THE WEEK THAT WAS: THE FEDERAL COURTS PUMMEL THE SEC (AMONG OTHERS)
1 Jul 2024, 6:41 am by Robert B. Lamm
Supreme Court announced its decision in Securities and Exchange Commission v. [read post]
The Securities Edge - http://www.thesecuritiesedge.com/
Crypto.com Sues the SEC in Texas ­– Arguments and Implications for the Cryptocurrency Industry
14 Oct 2024, 1:39 pm by David Hirsch, Garen S. Marshall and Rhea Shahane
  In previous crypto cases brought by the SEC, the agency has applied the Supreme Court’s investment contract formulation from SEC v. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
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/
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]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
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
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/
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/
The SEC Can Learn a Thing or Two from Europe About Regulating Digital Assets    
22 Aug 2024, 9:05 pm by renholding
To create a sound, well-reasoned, cost-effective statute, the SEC must be willing to commit resources and foster community dialogue. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Penalties Seen As Weak
12 Feb 2010, 10:17 am
andnbsp; Because the SEC penalties are weak.andnbsp; As it was reported today. [read post]
Securities Arbitration Blog - http://www.securitiesarbitrations.com
Pro-Marriage Group Entitled To Actual Damages For Erroneous IRS Release of Donor Data
8 Jun 2014, 11:21 am by Howard Friedman
In National Organization for Marriage, Inc. v. [read post]
Religion Clause - http://religionclause.blogspot.com/
Coinbase operates as unregistered exchange, broker, and clearing agency, SEC says
7 Jun 2023, 6:47 am by Unknown
The SEC says that Coinbase's refusal to follow the rules has deprived investors of the protections to which they are entitled (SEC v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/