Search for: "Securities & Exchange Commission v. Topping" Results 41 - 60 of 359
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25 Dec 2017, 9:40 pm by The Regulatory Review
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
30 Nov 2007, 7:33 am
U.S. companies will be allowed once again to exclude proxy access proposals from their corporate ballots, the Securities and Exchange Commission has decided. [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
17 Jan 2008, 6:46 pm
  Finally, the Court noted that abuses by secondary actors in these instances can be remedied through state law claims and enforcement actions by the Securities & Exchange Commission. [read post]
15 Jan 2008, 7:04 am
” The plot led to a federal indictment against two of Charter’s officers, and a cease and desist order against that company by the Securities and Exchange Commission. [read post]
12 Jun 2012, 6:19 pm by Wells Bennett
  And what better way to top things off, than with a quick update in United States v. [read post]
29 Jan 2020, 9:26 am by skelly
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [read post]
26 Mar 2007, 8:03 am
The scheme led to a federal indictment of two of Charter's officers and a cease and desist order by the Securities and Exchange Commission. [read post]
The Securities and Exchange Commission (SEC) is concerned that the offering and sale of virtual currency (or “tokens”) is a sale of a security under the Securities Act of 1933, and that such offerings should comply with offering regulations, including providing appropriate disclosure to investors in order to prevent fraud. [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
9 Oct 2007, 9:07 am
The Bush administration disregarded the recommendation of the Securities and Exchange Commission and filed a brief in support of the Charter vendors. [read post]
28 May 2008, 2:02 am
These exchanges are greatly appreciated by the Court.Thirty-three judges of the Court have previously served as members of the Commission. [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]
24 Jul 2017, 10:11 am by Matthew D. Lee
Sept. 8, 2016), the indictment charged the chief financial officer of a publicly-traded real estate investment trust with securities fraud in connection with his alleged fraudulent inflation of a key metric used to evaluate a REIT’s financial performance in filings made with the Securities and Exchange Commission. [read post]