Search for: "In Re Securities and Exchange Commission"
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14 Sep 2013, 6:43 am
” Section 941 added Section 15G to the Securities Exchange Act of 1934, which requires the Agencies to prescribe risk retention rules. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
7 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) has been on a transparency rampage – proposing extensive new disclosure obligations on public companies, activist investors, private funds, and (maybe soon) so-called “unicorn” startups. [read post]
31 Dec 2019, 11:36 am
The Securities and Exchange Commission (SEC) announced that it has taken emergency action to stop an alleged $6 million Ponzi scheme that took money from at least 55 people, many of whom are seniors. [read post]
28 Mar 2014, 3:20 pm
The Federal Trade Commission (“FTC”) has settled with two mobile application developers, Fandango and Credit Karma, over charges that they misrepresented the security of their mobile applications. [read post]
6 Feb 2013, 5:00 am
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
6 Feb 2013, 5:00 am
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
5 Apr 2023, 9:01 pm
Thank you for inviting me to testify today on the Securities and Exchange Commission’s Fiscal Year (FY) 2024 budget request. [read post]
13 Jan 2017, 9:18 pm
United States Securities and Exchange Commission (10th Cir., December 27, 2016) (holding that SEC ALJs are inferior officers rather than employees, and therefore subject to the Constitution's appointments clause; the ALJ presiding over Bandimere's case held his office unconstitutionally)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case, res judicata, or collateral… [read post]
28 Aug 2015, 6:51 am
The service described in #2 is an app like Uber that connects those who want to interact and securely accomplishes the exchange of money. [read post]
24 Aug 2015, 3:20 am
I'm afraid that if we call too much attention to what's going on at the Securities and Exchange Commission ("SEC"), that we might inadvertently stop the positive change in its tracks. [read post]
12 Dec 2018, 6:00 am
November 20, 2018), provides important guidance for directors seeking protection under either Corwin or Section 102(b)(7) when a board of a publicly traded company runs a sale process while it is attempting to restate its financials, its stock has been de-listed, and the Securities and Exchange Commission is threatening de-registration. [read post]
15 Dec 2016, 6:42 pm
Securities and Exchange Commission (10th Cir., December 6, 2016) (affirming the SEC's disciplinary suspension of McCune (resulting in his being 'permitted to resign' from his employment) because he failed to ‘observe high standards of commercial honor and just and equitable principles of trade’)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case,… [read post]
25 Apr 2024, 6:41 am
To illustrate this point, we’re summarizing highlights of the hundreds of FOIA requests submitted by media organizations to the Food and Drug Administration and the Securities and Exchange Commission during March (the most recent month for which information is available). [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
16 Mar 2010, 7:30 am
Look no further than Vinod Gupta, who, yesterday evening, became the Securities and Exchange Commission’s poster child for perks run amok. [read post]
31 Jul 2017, 2:38 pm
The Securities and Exchange Commission today filed charges to stop an alleged ongoing fraud by a Massachusetts businessman misusing investments intended for the development of cancer diagnostic tests to instead pay personal expenses and fund his fiancée’s restaurant businesses. [read post]
6 Oct 2021, 1:56 pm
You may be an eligible whistleblower entitled to a reward if you voluntarily provide original information to the Securities and Exchange Commission (SEC) or other federal agency that leads to the SEC’s issuance of sanctions of one million dollars ($1,000,000) or more. [read post]
12 Oct 2018, 12:08 pm
As long as investors can be convinced they can earn a reward without risk, Ponzi schemes will find victims.Ponzi Schemer Paid Priests for PrayersAn investment advisor charged by the Securities and Exchange Commission with running a multi-million dollar Ponzi scheme spent close to a million dollars on prayers from Hindu priests in order to keep the feds at bay. [read post]
