Search for: "Securities & Exchange Commission v. Topping"
Results 21 - 40
of 403
Sort by Relevance
|
Sort by Date
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
13 Oct 2023, 4:00 am
In exchange, he allegedly used his influence to protect three businesspeople and benefit the government of Egypt. [read post]
2 Oct 2023, 9:50 am
Department of Justice and the Federal Trade Commission issued new Draft Merger Guidelines. [read post]
29 Sep 2023, 4:00 am
Yahoo News – Ken Dilanian and Frank Thorp V (NBC News) | Published: 9/27/2023 U.S. [read post]
20 Sep 2023, 5:50 am
The case is captioned Gambrill v. [read post]
4 Sep 2023, 5:44 am
The fact is that the number of securities suit filings fluctuates. [read post]
1 Sep 2023, 4:00 am
The justices faced heightened security risks, Thomas noted, after the leak of the court’s majority opinion to overturn Roe v. [read post]
14 Aug 2023, 5:36 am
If you read one of these articles, you are probably in the top quartile of MQD knowledge. [read post]
3 Aug 2023, 6:31 am
This post provides an overview of shareholder proposals submitted to public companies during the 2023 proxy season, [1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests. [2] I. [read post]
3 Aug 2023, 6:31 am
This post provides an overview of shareholder proposals submitted to public companies during the 2023 proxy season, [1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests. [2] I. [read post]
1 Aug 2023, 4:27 pm
The United States Securities and Exchange Commission (“SEC”), for example, has focused on ESG by investigating and taking action against companies that tout business practices such as consideration of environmental sustainability, but fail, in practice, to live up to their claims. [read post]
1 Aug 2023, 6:04 am
The court is withholding issuance of its mandate for three months to allow market participants to wind down existing transactions (Cboe Futures Exchange, LLC v. [read post]
21 Jul 2023, 7:53 am
The average timeline for a directive to become EU Law from Commission proposal stage (if adopted) is eighteen months. [read post]
19 Jul 2023, 9:05 pm
The Securities and Exchange Commission regulations on climate disclosure, first proposed in March 2022 and likely to be issued in final form in October 2023,[1] have drawn considerable controversy and face an uncertain fate in the inevitable litigation.[2] Much less attention has gone to two bills that are moving toward adoption in California. [read post]
14 Jul 2023, 5:42 pm
Pix Credit here (EU AI Act)It is always interesting to watch the ways in which U.S. and Chinese administrative trajectories respond to similar challenges that move closer to the top of items of regulatory interest to their respective government organs. [read post]
1 Jul 2023, 6:44 pm
The authority of the President, the State Council, the Central Military Commission, and the Ministry of Foreign Affairs are described generally. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
9 Jun 2023, 4:52 pm
Before us in the present is a 49-page document docketed as 23-cr-80101 in the Southern District of Florida, conspicuously captioned: United States of America v. [read post]
9 Jun 2023, 12:26 pm
Earlier this month on a Friday afternoon, the Securities and Exchange Commission quietly issued an extraordinary administrative order. [read post]
4 May 2023, 9:31 pm
Securities and Exchange Commission to reassess existing exemptions and to collect more data on private markets before exempting additional companies from public disclosure requirements. [read post]
