Search for: "Fields v. Securities and Exchange Commission"
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13 Nov 2017, 8:05 am
Vance Spath called the commission to order Nov. 3 at 9:00 am. [read post]
3 Apr 2017, 3:14 pm
This prevents Bormann from discussing the records with her client, which goes against “one of the most fundamental aspects” of Skipper v. [read post]
22 Oct 2008, 12:15 pm
" In the field of securities regulation, it is hard to imagine illegal conduct that wouldn't potentially have that affect. [read post]
8 Jun 2019, 7:05 pm
(Pix © Larry Catá Backer 2019)This post is the third of a series of three posts in which the CPE WGE examine the question of paths to empire performed through the choices being made by the U.S. and Chinese leadership cores [领导核心] within the theater of the U.S. [read post]
6 Feb 2018, 7:24 am
China Economic and Security Review Commission was created on October 30, 2000 by the Floyd D. [read post]
25 Aug 2008, 11:16 am
So-called "field preemption" was inapplicable because "an examination of the statutory framework of the Exchange Act does not reveal the comprehensiveness necessary to infer that Congress intended" for federal regulation to completely occupy the field. [read post]
19 Jul 2023, 9:05 pm
The Securities and Exchange Commission regulations on climate disclosure, first proposed in March 2022 and likely to be issued in final form in October 2023,[1] have drawn considerable controversy and face an uncertain fate in the inevitable litigation.[2] Much less attention has gone to two bills that are moving toward adoption in California. [read post]
20 May 2022, 11:01 am
Khan, joined by Securities and Exchange Commission (SEC) Chair Gary Gensler, made the regular trip to Congress to ask for a bigger budget to support more hires. [read post]
21 Dec 2022, 6:03 am
Title V of Division AA of the FY23 appropriations bill would provide for a registration exemption for small business mergers and acquisitions brokers by amending Exchange Act Section 15(b) to add a new subsection (13). [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]
18 Dec 2013, 3:05 pm
The Securities and Exchange Commission regulates investment advisers under the Investment Advisers Act of 1940 (the “Act”). [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
12 Mar 2009, 7:29 pm
If a plaintiff with large legal resources and little economic motivation - i.e., the Securities and Exchange Commission - mounted a case on the strength of egregious facts, things might change. [read post]
16 Mar 2020, 1:54 pm
This would be significant to the extent it opens an avenue to primary liability for a class of persons who previously may only have faced secondary liability under the statutory “aiding and abetting provision,” which contains no private right of action and is therefore only enforceable by the Securities and Exchange Commission. [read post]
5 Oct 2021, 7:49 am
" The petition for certiorari in Alpine Securities Corporation v. [read post]
27 Aug 2021, 4:30 pm
Otto v. [read post]
27 Mar 2012, 11:39 am
Rakoff rejected a $285 million settlement between the Securities and Exchange Commission (“SEC”) and Citigroup which he believe had not been adequately supported. [read post]
23 Jul 2015, 6:28 pm
The Securities and Exchange Commission (SEC) enjoys a pronounced home-field advantage when trying enforcement actions in its own administrative courts as opposed to federal district courts. [read post]
21 Feb 2014, 9:00 am
We’ve covered this case, Liu v. [read post]
10 Feb 2018, 5:26 am
Robert Chesney and Steve Vladeck shared this week’s National Security Law Podcast, in which the two discuss, among other things, President Trump’s treason remarks, military commissions, and the Doe v. [read post]
