Search for: "Fields v. Securities and Exchange Commission"
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28 Mar 2019, 11:25 am
“Securities fraud” is when some person involved in the securities field engages in conduct prohibited by that the Securities and Exchange Commission (the “SEC”) or Congress. [read post]
30 Mar 2022, 9:52 am
By virtue of OBG Ltd v Allan [2007] UKHL 21 and Your Response Ltd v Datateam Business Media Ltd [2014] EWCA Civ 281, a trade document in electronic form is intangible and, therefore, not possessable and capable of functioning as a paper trade document. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
22 Apr 2012, 10:15 pm
Plaintiffs claim the CFTC final rule failed to explain its reversal of a 2003 decision not to regulate an area already regulated by the Securities and Exchange Commission. [read post]
16 Sep 2014, 11:40 am
READ PARTS I-V (pp. 101-138 in SSRN version). [read post]
2 Aug 2022, 11:04 am
Securities and Exchange Commission (“SEC”) and U.S. [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
11 May 2015, 5:00 am
The Securities and Exchange Commission just filed a securities fraud case against the developer. [read post]
8 Mar 2022, 5:00 am
Supreme Court’s statement in Reiter v. [read post]
18 Nov 2018, 8:48 pm
Proposals for a national security exchange are not new in Canada. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
15 Aug 2007, 11:38 am
Stoneridge Investment Partners v. [read post]
1 Apr 2013, 12:51 am
In a guest post below, Weil Gotshal attorneys Carangelo, Ferrillo and Hannah Field-Lowes take an updated look at the rapidly changing global regulatory environment and the securities litigation implications. [read post]
15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
19 Mar 2018, 10:23 am
These include: a Field Efficiencies Plan to be delivered to the Senate and House Homeland Security committees and the House Committee on Transportation and Infrastructure within 270 days, providing an account of facility cost and recommendations to streamline them (largely modeled on the Efficiency Review launched by Secretary Janet Napolitano in 2009); a report on the reprogramming or transferring of funds for operational surges for the next five years; a report on cost savings… [read post]
2 Feb 2023, 7:23 am
The Commission has authority to alter the dollar amounts in the definition of “eligible privately-held company. [read post]
28 May 2008, 2:02 am
These exchanges are greatly appreciated by the Court.Thirty-three judges of the Court have previously served as members of the Commission. [read post]
18 Jun 2012, 7:19 am
The change, approved by the Securities and Exchange Commission, will soon expand FINRA’s existing prohibition of class-action arbitrations to bar collective actions as well. [read post]
13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
