Search for: "Securities and Exchange Commission v. Sample"
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27 Aug 2021, 4:30 pm
Otto v. [read post]
14 Apr 2012, 11:17 am
Energy v. [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
17 Jun 2009, 7:00 am
These are my notes: To start off, there was the usual SEC disclaimer: The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its staff. [read post]
7 Sep 2022, 9:01 pm
HFCAA, among other things, also mandates that, after the PCAOB makes such a determination, the Commission require issuers who retain accounting firms in such jurisdiction to make specified disclosures in their annual reports and prohibit trading in those issuers’ securities if they are identified by the Commission as using such accounting firms for three consecutive years.[10] On December16, 2021, the PCAOB formally determined that, due to the positions taken by the… [read post]
28 Apr 2022, 9:01 pm
And since the boom, the Commission and its staff identified several areas of concern with SPACs. [read post]
23 Oct 2011, 9:40 pm
" ruling in Thuiskopie v Opus for jiplp. [read post]
8 May 2022, 9:05 pm
Securities and Exchange Commission. [read post]
25 Jan 2024, 4:06 am
That same year, in Caratube v Kazakhstan, confidential information was leaked from the Kazakh government’s IT system and the claimant eventually obtained some of the leaked documents. [read post]
29 Dec 2009, 10:56 am
Congress Should Rewrite the Securities Exchange Act of 1934 94 Accounting and Administrative Law Aspects of Gerstle v. [read post]
3 Feb 2020, 12:42 pm
.: New America’s Open Technology Institute will host a fireside chat with Federal Trade Commission Commissioner Rohit Chopra, entitled “Privacy’s Best Friend: How Encryption Protects Consumers, Companies, and Governments Worldwide”, followed by a panel of experts discussing the role of encryption in protecting consumer privacy. [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
8 Aug 2023, 9:05 pm
Securities and Exchange Commission. [read post]
18 Jul 2022, 2:46 pm
We are therefore seeing more ESG-focused securities litigation in the pipeline for these reasons. [read post]
31 Oct 2018, 11:21 am
Issues: (1) Whether the Federal Communications Commission’s assumption of gatekeeper power over new methods of communication, “in the most important place [] for the exchange of views[,] … the ‘vast democratic forums of the Internet,’” violates the First Amendment; (2) whether the radical reinterpretation of the Communications Act of 1934 by the FCC is entitled to deference under Chevron U.S.A. v. [read post]
10 Dec 2009, 6:09 am
" In addition, if a credit rating is used in connection with a Rule 144A offering or other private placement and the privately-offered securities are exchanged shortly thereafter for substantially identical registered securities (i.e. , an "Exxon Capital" or "A/B" exchange offer), the rating would need to be disclosed in the exchange-offer registration statement even if the rating is not otherwise used in connection with that… [read post]
4 Mar 2011, 9:11 am
Cornell and Son, Inc.Docket: 10-732Issue(s): Whether the anti-retaliation provision of the Employee Retirement Income Security Act, 29 U.S.C. [read post]
2 Jun 2012, 12:12 pm
UB then takes out a court order forbidding anyoneto help these exchanges. 'Anyone' means literally just about anybody. [read post]
5 Sep 2010, 12:32 pm
Fomento (Sterling Area) Ltd. v. [read post]
