Search for: "In Re Securities and Exchange Commission"
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23 Apr 2018, 2:33 pm
Securities and Exchange Commission, they were well aware of the implications the decision holds for the administrative state. [read post]
10 Mar 2010, 6:40 am
“We intend to use every available means to shut down this illicit operation,’’ Harbeck said.The US Securities and Exchange Commission issued a statement about the group’s posing as an international branch of the SIPC. [read post]
20 Feb 2008, 4:07 am
In re H&R Block Securities Litig., ___ F.Supp.2d ___ (W.D. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
11 Mar 2022, 6:03 am
Securities and Exchange Commission. [read post]
23 Sep 2016, 10:39 am
Securities & Exchange Commission Investment offers may promise to pay sky-high returns for what are at best extremely risky propositions — and at worst are pure frauds. [read post]
29 May 2010, 6:15 am
They are not only good in issues of litigation such as when you are being investigated for securities fraud by the Security and Exchange Commission or when a customer charges against you for product liability. [read post]
2 Dec 2016, 9:30 pm
Cohen to the Securities and Exchange Commission. [read post]
27 Mar 2023, 9:01 pm
The Supreme Court Takes On Slack Pirani The case arises out of the New York Stock Exchange’s (“NYSE”) rule, introduced in 2018, that allows companies to go public through a direct listing. [read post]
3 Feb 2016, 4:00 am
The Justice Department is probably in the best position to commission and coordinate this data call. [read post]
27 Apr 2016, 9:03 am
The Securities and Exchange Commission today voted to publish for public comment a proposed national market system (NMS) plan to create a single, comprehensive database that would enable regulators to efficiently track all trading activity in the U.S. equity and options market. [read post]
6 Mar 2017, 4:26 pm
National Australia Bank, the Court held that Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) does not apply extraterritorially. [read post]
27 Apr 2023, 6:19 am
Right now, there is not a market regulator around these crypto exchanges. [read post]
9 Nov 2011, 10:08 am
Rakoff is well-known for speaking bluntly, giving the Securities and Exchange Commission heartburn, and a willingness to issue bold legal rulings, such as when he briefly overturned the death penalty in a decision that was later reversed. [read post]
10 Jun 2019, 5:16 am
The clock is ticking for brokers-dealers to modify their operations to comply with advice reform regulations approved earlier this week by the Securities and Exchange Commission. [read post]
20 Dec 2011, 1:47 pm
At the end of 2007, more than 75 percent of his commissions were coming from these sales. [read post]
5 Jun 2019, 12:01 pm
Securities and Exchange Commission. [read post]
3 Apr 2017, 3:14 pm
After a few exchanges and a long pause, Dykstra offers a solution: The government can get the defense everything up to April 24th, and then work with the defense to allow them to see the records before they are reviewed. [read post]
19 Feb 2015, 1:30 pm
As a result of the Snowden disclosures, the European Commission re-opened a review of the TFTP program. [read post]
15 May 2023, 9:51 am
The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. [read post]
