Search for: "SEC CORPORATION v. United States" Results 61 - 80 of 1,005
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Second Circuit Holds That SEC Need Not Prove "Proximate Cause" for Aiders and Abettors Under Section 20(e) of the Securities Exchange Act of 1934
15 Aug 2012, 10:13 am
In SEC v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Does United States v. Ying Expand the Knowledge Requirement for “Classical” Insider Trading?
2 Apr 2018, 1:37 pm by Daniel A. Goldfried
United States v. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
Does United States v. Ying Expand the Knowledge Requirement for “Classical” Insider Trading?
2 Apr 2018, 1:37 pm by Daniel A. Goldfried
United States v. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
Securities and Exchange Commission Whistleblower Awards List
23 Sep 2013, 12:50 pm by Mary Jane Wilmoth
AdamsCase number: 13-cv-12856 (United States District Court for the Eastern District of Michigan)Case filed: July 1, 2013Qualifying judgment/order: July 19, 2013 8/16/2013 11/14/2013 2013-71 SEC v. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Corporate compliance landscape explored in comprehensive law firm webinar
1 Feb 2019, 7:19 am by John Jascob
SEC, the Supreme Court held in a 7-2 decision that the SEC’s administrative law judges (“ALJ”) are “officers of the United States,” and thereby subject to the Appointments Clause of the Constitution. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Securities Industry Commentator by Bill Singer Esq
22 May 2023, 4:15 am
FEDERAL DEPOSIT INSURANCE CORPORATION (Opinion, United States Supreme Court) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES  = = =5/22/2023... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Timbs v. Indiana: Excessive Fines Clause Applies to the States
21 Feb 2019, 4:01 pm by Jamie Markham
I, sec. 27. [read post]
North Carolina Criminal Law Blog - http://nccriminallaw.sog.unc.edu/
Securities and Exchange Commission Whistleblower Awards List
2 Jan 2014, 9:15 am
Senen Pousa and Investment Intelligence Corporation PTY LLC Case number: 12-cv-00863 (United States District Court for the Western District of Texas) Case filed: September 18, 2012 Qualifying judgment/order: December 4, 2013 12/20/2013 03/20/2014 2013-118 SEC v. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
The SEC Releases a Study on Transnational Fraud Lawsuits - Ted Allen - Governance
11 Apr 2012, 4:15 pm by Ted Allen
 The SEC received 72 comment letters from institutional investors, companies, corporate lawyers, and foreign governments. [read post]
Institutional Shareholder Services - Insight - http://blog.issgovernance.com/
Taken for Granted? SEC Implied For-Cause Removal Protection and Its Implications, by Jameson M. Payne
24 Jun 2022, 4:55 pm by Guest Author
United States but before Humphrey’s Executor v. [read post]
Notice & Comment - https://www.yalejreg.com/nc/
Disclosure of Corporate Political Spending a Needed First Step
30 Aug 2011, 6:17 am by George Dallas, F&C Management Ltd.,
While the ICGN’s purview is a global one, we believe this matter is particularly relevant in the United States given last year’s Supreme Court decision in Citizens United v. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Federal Judge Allows SEC Action against Fannie Mae Senior Officers to Proceed; Second Circuit Substantial Assistance Standard Used
14 Aug 2012, 9:24 am by James Hamilton
(SEC v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC v. Shanahan: A Backdating Case Survives Summary Judgment
23 Mar 2010, 5:00 am by Richard Jasik
  The United States District Court for the Eastern District of Missouri granted in part and denied in part defendant’s Motion for Summary Judgment. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Appeals court affirms SEC subpoena order in digital assets investigation
13 Jun 2022, 7:37 am by John Jascob
The SEC could serve the corporate entity Terraform through Kwon, the company’s CEO and authorized agent. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Citizens United and the Limits of Shareholder Approval
18 May 2011, 5:00 am by J Robert Brown Jr.
Shareholder Advisory Vote on Electioneering Contributions Whereas, the Supreme Court ruling in Citizens United v. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Securities and Exchange Commission Whistleblower Awards List
23 Apr 2013, 6:28 am
City Capital Corporation, Ephren W. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Securities and Exchange Commission Whistleblower Awards List
1 Mar 2013, 11:56 am by Mary Jane Wilmoth
Morgan Acceptance Corporation ICase number: 12-cv-1862 (United States District Court for the District of Columbia)Case filed: November 16, 2012Qualifying judgment/order: January 8, 2013 02/08/2013 05/09/2013 2013-11 SEC v. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Clandestine Corporate Political Spending as Illicit Insider Trading
14 Jun 2023, 9:05 pm by renholding
United States, 445 U.S. 222, 227 n.8 (1980) (quoting Judge Learned Hand’s statement in Gratz v. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Stanford’s Joe Grundfest on Two Major Securities and Corporate Law Decisions
5 Jun 2023, 12:24 pm by Joseph A. Grundfest
Pirani, a unanimous United States Supreme Court voted in support of the amicus position I advocated with former SEC Chairman Jay Clayton. [read post]
Legal Aggregate - https://law.stanford.edu/legal-aggregate/
Secondary Liability and the Limits of SEC Independence
12 Jun 2007, 5:15 am
See SEC v. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/