Search for: "Lowe v. SEC"
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16 Jun 2016, 2:48 pm
Cybersecurity at SEC-registered entities like Morgan Stanley has become a top priority for the SEC inspections group and enforcement division. [read post]
25 Jun 2013, 2:58 pm
The Supreme Court, in its 5-4 decision today in Shelby v. [read post]
16 Mar 2011, 3:29 pm
Actually, the SEC has pretty consistently taken the position that a tiper who gets sexual benefits from the tippee has gotten the requisite personal benefits to satisfy the Dirks test: See, e.g., SEC v. [read post]
5 Mar 2018, 6:54 am
Wins struggled to keep its Nasdaq listing due to lack of investor interest, the court noted, evidenced by the stock’s low trading volume and a scarcity of shareholders. [read post]
14 Nov 2019, 1:14 pm
This latest case, Liu v. [read post]
27 Oct 2014, 2:04 pm
See Nonn v State of Texas. [read post]
30 Oct 2013, 6:15 pm
See, People v. [read post]
10 Oct 2018, 12:40 pm
But what precisely will the SEC want to know? [read post]
24 Oct 2023, 9:01 pm
From Congress to law enforcement to the courts, these levels are at, or below, historic lows.[2] Studies also show that only a small percentage of Americans have any significant level of confidence in banks, technology companies, or big business.[3] Regardless of whether you are a regulator, financial professional, or an attorney who counsels large entities, you should all be concerned. [read post]
7 Oct 2010, 7:52 am
I would guarantee our state bar association's rate of disciplining prosecutors who engage in misconduct will be as low or lower than in California. [read post]
16 Jun 2017, 11:57 am
Today's DJ features Ruling Limits Ability to Appeal Class Cert Denial by Jeffrey LeVee and Jason Wright of Jones Day about Monday's SCOTUS opinion in Microsoft v. [read post]
28 Feb 2007, 11:29 am
When you read the the Compliant filed in SEC v. [read post]
20 Feb 2024, 2:09 pm
In Murray v. [read post]
7 Aug 2013, 5:00 am
[cue ironic music, you'll see in a sec...] [read post]
3 Nov 2009, 1:18 pm
I don't think I buy the crucial arguments for either side in Jones v. [read post]
23 Nov 2018, 6:07 am
Securities and Exchange Commission, on Friday, November 16, 2018 Tags: Disclosure, Fund managers, Glass Lewis, Index funds, Institutional Investors, ISS, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting The Perils of Dell’s Low-Voting Stock Posted by Lucian A. [read post]
6 Apr 2025, 9:01 pm
Ernst & Young.[9] As discussed below, we also analyze them under the test set forth in SEC v. [read post]
22 Jun 2018, 3:22 pm
SEC and the respondents in South Dakota v. [read post]
23 Jul 2019, 3:00 am
SEC “Short- v. [read post]
7 Jan 2013, 6:00 pm
Reading the facts of Gabelli v. [read post]
