Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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31 May 2018, 2:48 pm
As alleged by the SEC in its Complaint filed in federal court in the Eastern District of New York (SEC v Pagartanis Complaint), Mr. [read post]
23 Apr 2018, 1:20 am
Likewise, the class of purchasers harmed by a stock price drop will comprise the same members in both actions. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
12 Mar 2018, 12:42 am
Securities and Exchange Commission (“SEC”) issued further interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents (the “2018 SEC Guidance”). [read post]
9 Feb 2018, 5:06 am
Securities and Exchange Commission, on Wednesday, February 7, 2018 Tags: Blockchain, CFTC, Cryptocurrencies, Exchange Act, Financial technology, ICOs, Innovation, Investor protection, SEC, Securities enforcement, Securities fraud Cryptocurrency 2018 Posted by David E. [read post]
29 Jan 2018, 11:28 pm
Securities and Exchange Commission, and ICO lawyers should be watching their backs. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
2 Oct 2017, 4:50 pm
2005: SEC v. [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
21 Jul 2017, 6:04 am
Pastuszenski, Goodwin Procter LLP, on Tuesday, July 18, 2017 Tags: California, Class actions, Jurisdiction, New York, PSLRA, Securities Act, Securities litigation, Shareholder suits, SLUSA, State law, Supreme Court CalPERS v. [read post]
6 Mar 2017, 4:26 pm
What if a foreign plaintiff buys stock in a foreign company whose securities are cross-listed on U.S. exchanges? [read post]
4 Jan 2017, 3:55 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
11 Nov 2016, 4:07 am
After Facebook declined to bring suit, the plaintiff filed suit in the Southern District of New York in June 2013. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
27 May 2016, 6:12 am
V. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
22 Feb 2016, 4:36 pm
However, interest in purchasing this type of insurance did not develop until 1939, when in New York Dock Co. v. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
14 Apr 2015, 4:50 pm
Securities and Exchange Commission (SEC) in March 2015 regarding Fenway’s treatment of fees and expenses incurred by its sponsored funds’ portfolio companies. [read post]
