Search for: "SECURITIES AND EXCHANGE COMMISSION v. SECURITIES INVESTOR PROTECTION CORPORATION"
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2 Nov 2009, 6:00 am
Finally, whatever one thinks of the answer, it likely reflects the views of the Delaware courts in general towards the Securities and Exchange Commission. [read post]
29 Jul 2013, 7:45 am
Securities laws require accurate disclosure of all material information.[3] Rule 10b-5 of the Securities Exchange Commission (SEC) prohibits any person from making “any untrue statement of material fact” or from omitting “a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. [read post]
28 Feb 2023, 9:24 am
See SEC v. [read post]
2 Feb 2023, 9:01 am
See SEC 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]
17 Jul 2023, 9:01 pm
Previously he worked as commissioner counsel and economist at the Securities and Exchange Commission. [read post]
16 Nov 2021, 6:08 am
The letter noted that the Commission has taken steps and staff has issued guidance to shore up protections for investors in the reverse merger context. [read post]
27 Mar 2023, 9:01 pm
Although Median NERA-Defined Investor Losses reached their highest level in a decade, the Median Ratio of Settlement to Investor Losses held steady for the third straight year at 1.8%. [read post]
28 Apr 2010, 8:00 am
A complex financial derivative structure exists at the center of the Securities Exchange Commission’s (“SEC”) complaint against Goldman Sachs & Co. and its vice president Fabrice Tourre (collectively, “Goldman”). [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
26 Sep 2019, 11:10 pm
Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat The SEC’s mission is to: (1) protect investors; (2) maintain fair, orderly, and efficient markets; and (3) facilitate capital formation. [read post]
3 Oct 2014, 10:56 am
As it relates to the Investor Advisory Committee’s fee-shifting bylaws agenda item, in his words, “[o]ne would have to be either credulous or contumacious to read into this statute a Congressional intent that the Investor Advisory Committee advise and consult with the Securities and Exchange Commission on matters of state contract law. [read post]
31 Mar 2022, 2:52 pm
On March 31, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2022 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
14 Jan 2022, 3:47 pm
On December 27, 2021, the California Court of Appeal issued two decisions addressing whether claims arising from statements made in filings with the Securities and Exchange Commission (“SEC”) fall within California’s statute designed to deter “strategic lawsuits against public participation,” or “SLAPPs,” arising from protected speech. [read post]
4 May 2022, 9:01 pm
Nasdaq’s Board Diversity Rule, approved by the Securities and Exchange Commission (SEC) in August 2021, is the subject of an ongoing, high stakes court battle in the United States Court of Appeals for the Fifth Circuit. [read post]
19 Apr 2012, 5:00 am
On October 26, 2011, the Southern District Court of New York denied Defendant Steven Gould’s motion to dismiss a fraud claim by the Securities and Exchange Commission (“SEC”), finding that the Commission had sufficiently pled a claim against a CFO despite the barrier imposed by the Supreme Court’s decision in Janus. [read post]
11 Apr 2012, 4:15 pm
“The Study falls far short of providing Congress with an informed recommendation and falls far short in fulfilling the Commission’s mission to protect investors,” Aguilar wrote in a statement. [read post]
1 Aug 2019, 11:54 am
Corporations — and investors in these corporations — are paying a steep price to protect their directors and officers from this foggy problem that has muddied the waters. [read post]
22 Jun 2018, 6:01 am
Brownback and V. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
