Search for: "Securities And Exchange Commission v. Davis"
Results 41 - 60
of 156
Sorted by Relevance
|
Sort by Date
15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Saturday, December 9, 2017 Tags: Capital formation, Conflicts of interest, Disclosure, EDGAR, Exchange-traded funds, Financial reporting, Investment advisers, Investment Company Act, Investor protection, SEC, Securities regulation, Transparency Do Professional Norms in the Banking Industry Favor Risk-taking? [read post]
8 Jan 2021, 5:52 am
Securities and Exchange Commission, on Tuesday, January 5, 2021 Tags: Capital formation, Direct listings, Due diligence, Institutional Investors, Investor protection, IPOs, Listing standards, NYSE, Retail investors, SEC, SEC rulemaking, Securities regulation, Underwriting Say-on-Pay Votes and Compensation Disclosures Posted by Brian V. [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [read post]
3 Aug 2018, 6:10 am
Silverman, Cleary Gottlieb Steen & Hamilton LLP, on Monday, July 30, 2018 Tags: Broker-dealers, Exchange Act, Investment banking, Janus Capital v. [read post]
14 Aug 2022, 9:01 pm
Each bill would bring much needed clarity to the regulatory landscape in part by strengthening the role of the Commodity Futures Trading Commission instead of fully empowering the Securities and Exchange Commission to regulate the digital asset industry. [read post]
15 Sep 2023, 6:30 am
Securities and Exchange Commission, on Thursday, September 14, 2023 Tags: 2008 Financial Crisis, ESG, Nonprofits, SEC [read post]
15 Sep 2023, 6:30 am
Securities and Exchange Commission, on Thursday, September 14, 2023 Tags: 2008 Financial Crisis, ESG, Nonprofits, SEC [read post]
1 Aug 2019, 11:54 am
Supreme Court’s March 2018 decision in Cyan, Inc. v. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
7 Apr 2009, 4:29 pm
The SEC case is Securities and Exchange Commission v. [read post]
15 Oct 2021, 7:38 am
Rodney Davis of Illinois, Mr. [read post]
10 Mar 2011, 6:11 am
SEC, a challenge to the Securities and Exchange Commission’s recently promulgated rules providing certain shareholders the right to place board-of-director nominees in company proxy materials. [read post]
4 Mar 2016, 6:00 am
Securities & Exchange Commission, on Sunday, February 28, 2016 Tags: Accredited investors, Capital formation, Compliance and disclosure interpretation, Crowdfunding, Disclosure, IPOs,JOBS Act, Rule 147, SEC, Securities Regulation, Small firms Servants of Two Masters? [read post]
13 Jan 2015, 3:57 am
For starters, at the end of his blog about this issue, Keith Bishop wonders: Daniel Gallagher is a sitting Commissioner and his co-authorship of this paper could lead arguments that he must disqualify himself should the issue actually come before the Securities and Exchange Commission. [read post]
27 Apr 2016, 4:54 am
In addition, the court stated, by attempting to manipulate the price of the stock, he violated the scheme liability provisions of the Exchange Act and the Securities Act. [read post]
19 Apr 2017, 4:38 am
Securities and Exchange Commission enforcement tool may soon be reined in by the U.S. [read post]
21 Sep 2018, 6:10 am
Daniel O’Connor, Daniel V. [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
