Search for: "RESOURCE INVESTMENTS, INC. v. US " Results 681 - 700 of 710
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13 Jan 2016, 5:05 pm by Kevin LaCroix
  Along those lines, the efficacy of using independent auditors, audit committees and management certifications to deter and minimize such insider misconduct became widely understood and embraced. [read post]
16 Jun 2016, 2:48 pm by Kevin LaCroix
 According to the SEC:   The federal securities laws require registered broker-dealers and investment advisers to adopt written policies and procedures reasonably designed to protect customer records and information. [read post]
2 Aug 2011, 1:05 am by Kevin LaCroix
      SEC Issues an Investor Bulletin on Reverse Mergers       On June 9, 2011, the SEC issued a bulletin cautioning investors of the potential pitfalls of investing in reverse merger companies. [read post]
13 Oct 2007, 9:18 am
            Having determined that the due process requirement was no longer viable in light of the Supreme Court's decision in N.L.R.B. v. [read post]
6 Aug 2015, 6:21 pm by Kevin LaCroix
In cybersecurity, most companies allocate significant resources to fortifying their networks and to denying access to cyber-attackers. [read post]
4 Dec 2023, 4:58 am by Peter Mahler
Last month, in Flor v Greenberg Farrow Architectural Inc., a three-judge panel of the New Jersey Appellate Division handed down an opinion with important lessons for business owners and practitioners in states that have adopted the Revised Uniform LLC Act, such as New Jersey, as well as in states that haven’t, such as New York. [read post]
27 Jun 2023, 9:01 pm by renholding
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
29 Dec 2009, 5:50 pm by admin
Environmental Protection Agency Region 5 has settled with Clear Lam Packaging Inc. for alleged violations of the Resource Conservation and Recovery Act requirements for treatment, storage and disposal of hazardous waste. [read post]
29 Dec 2009, 5:46 pm by smtaber
Environmental Protection Agency Region 5 has settled with Clear Lam Packaging Inc. for alleged violations of the Resource Conservation and Recovery Act requirements for treatment, storage and disposal of hazardous waste. [read post]
 Some agencies have indicated that they have current funding reserves or alternative sources of funding, such as advance appropriations or funds appropriated by the Infrastructure Investment and Jobs Act, that will allow them to continue some level of operations after the new fiscal year begins October 1. [read post]
2 Jan 2018, 5:08 pm by Kevin LaCroix
  Using number of public traded companies as of the end of 2016 for purposes of calculating an estimated litigation rate (in the absence of 2017 year-end figures), the 2017 litigation rate appears to be about 9% if all securities suit filings are taken into account, or about 4.8% if only the traditional securities suit filings are considered. [read post]
8 Jan 2015, 6:16 am by Lloyd J. Jassin
Right to use author's approved name and likeness      4. [read post]
8 Jan 2015, 6:16 am by Lloyd J. Jassin
Right to use author's approved name and likeness      4. [read post]
8 Jan 2015, 6:16 am by Lloyd J. Jassin
Right to use author's approved name and likeness      4. [read post]