Search for: "First Independence v. Sec"
Results 41 - 60
of 1,013
Sorted by Relevance
|
Sort by Date
29 May 2012, 4:54 pm
The House Member noted that the Supreme Court’s 2010 decision in Citizens United v. [read post]
6 Jun 2017, 3:00 am
Justice Sotomayor’s opinion in Kokesh v. [read post]
12 Oct 2018, 6:29 am
Although the SEC has previously enforced the Safeguards Rule (see our June 2016 memo), this is the SEC’s first enforcement action involving the Identify Theft Red Flags Rule. [read post]
18 Apr 2012, 7:20 pm
SEC v. [read post]
19 Jan 2011, 5:01 am
First, the SEC failed to adequately assess the costs of the rule. [read post]
5 Dec 2023, 9:01 pm
Last week the Supreme Court heard oral argument in Securities and Exchange Commission (SEC) v. [read post]
10 Jan 2024, 2:12 pm
May appeared first on Yale Journal on Regulation. [read post]
21 Feb 2023, 12:21 pm
An independent audit of Danske Bank confirmed that Wilkinson had first made the bank aware of its AML control failures. [read post]
22 Jun 2020, 4:17 pm
First, the Supreme Court held that in most cases disgorged sums must be distributed to investors. [read post]
9 Jun 2023, 12:26 pm
Ryan appeared first on Yale Journal on Regulation. [read post]
1 Mar 2017, 5:00 am
In Lanier v. [read post]
14 Nov 2011, 8:55 am
In the first settlement of its kind, FINRA settled with the SEC on October 27, 2011 due to allegations over a 2008 incident where a regional Kansas City office of FINRA doctored documents. [read post]
1 Sep 2023, 12:43 pm
While the government urged the justices to reverse the Fifth Circuit’s decision against the SEC in its entirety, portions of the government’s merits brief suggest the possibility of a split decision from the justices (SEC v. [read post]
22 Jul 2022, 5:07 am
Beller observed that SEC staff spent a lot of time on audit committee independence issues and that, in the case of the loan provisions in SOX, the SEC opted not to take exemptive action because that provision was self-executing and the SEC was not in the business of providing exemptions to a statute with overwhelming Congressional support. [read post]
15 Nov 2013, 3:42 am
This week’s much-anticipated decision by the First Circuit in Mehanna v. [read post]
23 Oct 2020, 9:28 am
This change corresponds with the Supreme Court ruling in Digital Realty v. [read post]
17 Sep 2015, 5:35 am
Undermining independence. [read post]
11 Aug 2021, 2:37 pm
” Read: SEC Acts to Save the “Related Action” Whistleblower Rule SEC May Reverse Controversial Whistleblower Program Amendments The post Whistleblower Advocates Applaud SEC’s Plan to Revise Related Action Rule appeared first on Whistleblower Network News. [read post]
13 Jul 2010, 1:13 pm
Sec’y of Labor v. [read post]
21 Oct 2020, 6:29 am
” The post SEC Proposes Conditional Exemption for “Finders” Involved in Capital Raising appeared first on Brown Rudnick. [read post]
