Search for: "Securities and Exchange Commission v. Lee"
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8 Jul 2010, 8:22 am
The Securities and Exchange Commission sued the church for fraudulent transfer and unjust enrichment stemming from donations to the church from two men who had pled guilty to securities fraud. [read post]
9 Oct 2014, 5:00 am
The New York Republican State Committee and the Tennessee Republican Party brought suit against the Securities and Exchange Commission challenging its political contributions rule for investment advisers, Rule 206(4)-5. [read post]
30 Oct 2020, 8:00 am
A Program Commemorating the 40th Anniversary of Chiarella v. [read post]
11 Aug 2021, 2:37 pm
Securities and Exchange Commission (SEC), released a statement detailing the agency’s plans to revise controversial rule amendments to the SEC Whistleblower Program. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
1 Nov 2019, 8:00 am
Securities and Exchange Commission over its shareholder rights. [read post]
18 Apr 2017, 4:29 am
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
26 Sep 2019, 11:10 pm
Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat The SEC’s mission is to: (1) protect investors; (2) maintain fair, orderly, and efficient markets; and (3) facilitate capital formation. [read post]
25 Jan 2022, 8:18 am
How would Reg NMS need to be adapted to allow digital assets to trade on registered exchanges? [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
18 Jun 2023, 6:30 am
Sternheim, Lee T. [read post]
18 Jun 2023, 6:30 am
Sternheim, Lee T. [read post]
11 Jun 2023, 9:01 pm
This decision, Lee v. [read post]
25 Mar 2022, 5:48 am
Securities and Exchange Commission, on Tuesday, March 22, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, SEC, SEC rulemaking, Securities regulation, Stakeholders, Sustainability The Law and Economics of Equity Swap Disclosure Posted by Lucian A. [read post]
6 Feb 2023, 1:37 pm
Securities and Exchange Commission (SEC) in implementing Section 404. [read post]
17 Jan 2019, 7:10 am
Digital Realty Trust, Inc. v. [read post]
13 Aug 2021, 5:51 am
Securities and Exchange Commission, on Saturday, August 7, 2021 Tags: Boards of Directors, Disclosure, Diversity, ESG, Listing standards, NASDAQ, SEC, SEC rulemaking, Securities regulation Statement by Commissioners Lee and Crenshaw on Nasdaq’s Diversity Proposals Posted by Allison Herren Lee and Caroline Crenshaw, U.S. [read post]
