Search for: "SEC v. Provident Securities, Inc." Results 61 - 80 of 1,167
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SEC Charges Robert “Rusty” Tweed, Tweed Investments with Fraud
5 Oct 2017, 7:24 am by Renae Lloyd
The complaint, Securities and Exchange Commission v. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Bipartisan Group of Former SEC Officials and Securities Experts Confirms Longstanding SEC Authority on Climate Disclosure
16 Jun 2022, 9:05 pm by Working Group on Securities Disclosure Authority
” But the Commission also made clear that the SEC’s “broad discretion to require disclosure provides necessary latitude to expand or contract disclosure rules in light of changes in the relevant context in which securities issuers conduct their business. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Overview of the SEC Regulation of Virtual Currency: Do Utility Tokens Still Exist?
12 Feb 2018, 7:36 am by Arina Shulga
   Some legal practitioners adopted a conservative attitude trying to fit the tokens of their clients within the tests provided by the 1946 SEC v. [read post]
Business Law Post - http://www.businesslawpost.com
The SEC, Company Smartphones and the Employee Passcodes
28 Sep 2015, 3:48 am
Securities and Exchange Commission v. [read post]
CYB3RCRIM3 - http://cyb3rcrim3.blogspot.com/
Crypto platform Bittrex seeks to dismiss SEC enforcement action, citing ‘major questions’ doctrine
11 Jul 2023, 9:14 am by Unknown
Bittrex also contends the SEC lacks the “clear congressional authorization” necessary to apply the securities laws to crypto tokens under the Supreme Court’s “major questions” doctrine (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
In Securities Exchange Commission v. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Sec. & Exch. Comm'n v. SBM Investment Securities, Inc. (Maryland U.S.D.C.) (Not Approved for Publication)
24 Feb 2007, 2:11 am
Comm'n v. [read post]
Maryland Courts Watcher - http://marylandcourts.blogspot.com/
U.S. Supreme Court Settles Circuit Split: Dodd-Frank’s Anti-Whistleblower Retaliation Protections Do Not Extend To Employees Who Do Not Report To The SEC
23 Feb 2018, 8:21 am by John F. Fullerton III and Jason Kaufman
Supreme Court resolved a circuit split and ruled in Digital Realty Trust, Inc. v. [read post]
Workforce Bulletin - https://www.workforcebulletin.com/
SEC Speaks, Cuban Tweets
25 Feb 2014, 10:02 am by Justin Bagdady
”  Brenner added that this provision could thus “fill a gap” caused by the Supreme Court’s decision in Janus Capital Inc. v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
The SEC Had No Love for BlockFi this Valentine’s Day
11 Mar 2022, 1:05 pm by Christopher J. Hubbert
In addition, the SEC took the position that the BIAs are notes under the four-part test articulated in Reves v. [read post]
KJK Legal News & Insights - https://kjk.com/news-insights/
Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification and Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement In Underlying Misconduct
12 Sep 2016, 4:09 pm by John Stigi
In Securities & Exchange Commission v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims
4 Mar 2019, 4:39 pm by John Stigi
In Wadler v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
SEC Responds to Questions from Federal Judge Overseeing Settlement of Citigroup Enforcement Action
9 Nov 2011, 8:21 am by James Hamilton
(SEC v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
To Whom Must The Whistle Blow? SEC Asks Second Circuit for Deference on Scope of Dodd-Frank Whistleblower Protection
24 Feb 2015, 10:23 am by Jim Kramer
”  The SEC asserted that this rule, Exchange Act Rule 21F-2(b)(1), is “entitled to deference” under Chevron, USA, Inc. v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Whistleblowing Under Dodd-Frank Successfully Accomplished By Providing Information To Outside Counsel Who Then Report To The SEC
16 May 2011, 11:32 am by Alain Leibman
Egan v. [read post]
White Collar Defense and Compliance - http://whitecollarcrime.foxrothschild.com/
SEC Speaks – What to Expect in 2016
23 Feb 2016, 7:36 am by Ken Herzinger
Inc., Admin. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Lookout for the SEC: After First Demanding More Admissions, the SEC is Additionally Increasing Monetary Penalties and Giving Advice to Defense Counsel
8 Oct 2013, 3:00 am by Blake Osborn
Inc. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Securities Litigation and Enforcement Securities Arbitration Outline and Case Materials
13 Nov 2012, 11:54 am
Cir. 1976) (noncompliance with SEC Rules provides the basis for a private cause of action); Dale v. [read post]
Securities Arbitration Blog - http://www.securitiesarbitrations.com
D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review
23 Aug 2010, 5:48 am
In NetCoalition v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
In re Polycom and the SEC’s Continued Focus on Internal Controls
13 Apr 2015, 12:00 pm by Jason M. Halper
  See SEC v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/