Search for: "Harris v. Securities and Exchange Commission"
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10 Feb 2017, 5:54 am
Cohen, Latham & Watkins LLP, on Sunday, February 5, 2017 Tags: Accounting, Disclosure, Earnings disclosure, Exchange Act, Filings, Financial reporting, IPOs, JOBS Act, Registration statements, Regulation S-K, SEC, Securities Act, Securities regulation, Small firms 2016 Developments in Securities and M&A Litigation Posted by Cleary Gottlieb Steen & Hamilton LLP, on Monday, February 6, 2017 Tags: Appraisal rights, Class actions, Delaware cases,… [read post]
31 Oct 2012, 9:49 am
Securities & Exchange Commission — definition of time limit for SEC to seek penalties for securities fraud 12-98 — Delia v. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
2 Aug 2019, 6:33 am
Norwitz and Sabastian V. [read post]
26 Apr 2024, 7:00 am
He got a phone call about the imminent sale of a tech company and allegedly traded on the confidential information, according to charges filed by the Securities and Exchange Commission. [read post]
9 Nov 2023, 9:01 pm
I had the privilege of working with Scott Friestad at the Securities and Exchange Commission for nearly a dozen years. [read post]
8 Jul 2010, 7:00 am
Section 922 excludes more whistleblowers Oddly enough, if you gain the case information through the performance of an audit of financial statements required under the securities laws and, for you in your position, submission of the information to the SEC would be contrary to the requirements of section 10A of the Securities Exchange Act of 1934 (15 U.S.C. 78j-1), forget about it. [read post]
9 Nov 2014, 6:46 pm
See Zerbst v. [read post]
6 Sep 2023, 9:01 pm
The CAT funding model we are considering is the product of the CAT LLC, the decisions of which are made by an operating committee consisting of members appointed by each of the self-regulatory organizations (“SROs”)—national securities exchanges and FINRA—who are participants in the CAT NMS Plan (“plan participants”). [read post]
1 Oct 2019, 6:21 am
SHIREY V. [read post]
12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
17 Feb 2015, 7:52 am
The Securities and Exchange Commission also announced in April that it would conduct over 50 cybersecurity examinations of publicly traded companies. [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
21 May 2021, 5:54 am
Eddy, and Sabastian V. [read post]
17 Jun 2009, 1:50 pm
That standard, the Solicitor General said, “has provided useful guidance for fund boards” and is now reflected in regulations of the Securities and Exchange Commission. [read post]
16 Feb 2021, 12:19 pm
The Commission on Theft of American Intellectual Property reported in 2017 that the annual “estimated low-end cost of [international] trade secret theft to U.S. firms was $180 billion, or 1% of U.S. [read post]
1 Sep 2017, 6:49 am
On Appeal from the 189th District Court, Harris County, Texas, Trial Court Case No. 2015-24829. [read post]
12 Jul 2017, 12:21 pm
The NAC is a private body, but it plays an important role in a government-authorized self-regulatory system, and indeed its decisions are subject to appeal to a government body, the Securities and Exchange Commission. [read post]
6 Mar 2022, 11:36 am
Kurup posted the unanimous court decision in FBI v. [read post]
