Search for: "U. S. Securities and Exchange Commission"
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25 Sep 2023, 7:47 am
Plaintiff also states that this action is related to another case pending in this court, in which the United States Securities and Exchange Commission is suing several of the same defendants. [read post]
24 Sep 2023, 9:01 pm
A foreign principal or Relevant Chinese Person has a de minimis indirect interest if “any ownership is the result of [their] ownership of registered equities in a publicly traded company owning the land and if [their] ownership interest in the company is either: (a) less than 5 percent of any class of registered equities or less than 5 percent in the aggregate in multiple classes of registered equities; or (b) a noncontrolling interest in an entity controlled by a company that is both… [read post]
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
13 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
12 Sep 2023, 9:01 pm
We’re focused on getting things right—based upon the economics, the Commission’s legal authorities, and promoting the SEC’s mission—not the clock. [read post]
12 Sep 2023, 6:31 am
Securities and Exchange Commission (SEC) rules requiring the use of UPC in contested director elections took effect in September 2022, allowing shareholders to vote on the same ballot for a combination of directors proposed by either management or a dissident. [read post]
12 Sep 2023, 6:31 am
Securities and Exchange Commission (SEC) rules requiring the use of UPC in contested director elections took effect in September 2022, allowing shareholders to vote on the same ballot for a combination of directors proposed by either management or a dissident. [read post]
5 Sep 2023, 9:05 pm
Supreme Court next term of Securities and Exchange Commission v. [read post]
28 Aug 2023, 7:36 am
” The SEC’s order finds that 3M violated the books and records and internal accounting controls provisions of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. [read post]
24 Aug 2023, 10:50 am
The Securities and Exchange Commission today announced insider trading charges against Romero Cabral da Costa Neto for trading based on material, nonpublic information concerning a client of the global law firm where he worked as a visiting attorney from Brazil. [read post]
16 Aug 2023, 8:09 am
Some of the more notable exceptions include: Publicly-traded securities, index funds, mutual funds, exchange-traded funds; Certain investments made as a Limited Partner; Committed but uncalled capital investments; and Intracompany transfers of funds. [read post]
14 Aug 2023, 8:18 am
the Securities and Exchange Commission today charged Crowe U.K. [read post]
14 Aug 2023, 5:36 am
Louis U. [read post]
8 Aug 2023, 6:32 am
The ISSB’s speed in developing the Standards comes in contrast to the long-awaited and delayed climate rules anticipated from the United States Securities and Exchange Commission (the “SEC”). [read post]
8 Aug 2023, 6:32 am
The ISSB’s speed in developing the Standards comes in contrast to the long-awaited and delayed climate rules anticipated from the United States Securities and Exchange Commission (the “SEC”). [read post]
31 Jul 2023, 3:15 am
” In addition, the Securities Exchange Act of 1934 imposes “regular reporting requirements on companies whose stock is listed on national securities exchanges. [read post]
20 Jul 2023, 8:46 am
The FTCA declares unlawful “[u]nfair methods of competition in or affecting commerce, and unfair or deceptive acts or practices in or affecting commerce. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
12 Jul 2023, 2:23 pm
Some proposals, like the National AI Commission Act (H.R. 4223) and Digital Platform Commission Act (S. 1671), propose the creation of an agency or commission to review and regulate AI tools and systems. [read post]
5 Jul 2023, 9:13 am
Background When Congress created the Securities and Exchange Commission in the wake of the Great Depression, it granted the agency the power to enforce the securities laws either in federal district court or through internal hearings in front of an administrative law judge (ALJ). [read post]
