Search for: "SEC v. Provident Securities, Inc."
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4 Jan 2024, 12:10 pm
Bovee allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
2 Jan 2024, 12:56 pm
The number of filings provides a significant indicator of the insurers’ likely loss experience for the year, and the filings trends represent an important factor in insurers’ calculation of their profit-making price. [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
17 Dec 2023, 9:03 pm
” As articulated in the famous Supreme Court decision, SEC v. [read post]
5 Dec 2023, 9:05 pm
., LLC v. [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]
1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
1 Dec 2023, 12:15 am
Does the duty to disclose fully and fairly all material information mean that directors must provide disclosures similar to those mandated by the SEC? [read post]
30 Nov 2023, 9:05 pm
This post provides an overview of key recent decisions in blockchain and securities law and where the rules are likely headed. [read post]
29 Nov 2023, 9:01 pm
The actions highlighted by the SEC in its press release provide valuable insights into evolving trends and a roadmap for industry players as to ongoing initiatives. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
17 Nov 2023, 3:34 pm
In Roth v. [read post]
9 Nov 2023, 9:01 pm
This clarity should be provided before resorting to enforcement actions. [read post]
24 Oct 2023, 9:01 pm
It prohibits entities from taking actions that impede employees from reporting possible securities law violations to the SEC. [read post]
22 Oct 2023, 9:01 pm
Morgan Stanley split from the Ninth Circuit, finding that a violation of Item 303 would be actionable under Section 10(b) and Rule 10b-5 if plaintiffs met the materiality requirements set forth in Basic Inc. v. [read post]
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
20 Oct 2023, 6:54 am
The amici urged the Supreme Court to uphold the Fifth Circuit’s finding that the Seventh Amendment forbids the adjudication of the Securities Acts’ anti-fraud provisions in jury-less administrative proceedings (SEC v. [read post]
13 Oct 2023, 12:44 pm
These cases include Illumina, Precision Patient Outcomes, and Childhood Leukemia Foundation, Inc. v. [read post]
13 Oct 2023, 12:12 pm
The Court just granted certiorari in a new case—Relentless, Inc. v. [read post]
