Search for: "SEC v. Scott"
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14 Jan 2022, 5:57 am
Lund (University of Southern California), on Tuesday, January 11, 2022 Tags: Citizens United v. [read post]
29 Dec 2021, 12:00 pm
In Milieudefensie et al. v. [read post]
10 Dec 2021, 4:59 am
Securities and Exchange Commission, on Friday, December 3, 2021 Tags: Accounting standards, Foreign issuers, Holding Foreign Companies Accountable Act, International governance, PCAOB, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation SEC’s New Approach to No-Action Requests for Shareholder ESG Proposals Posted by Era Anagnosti, Maia Gez, and Scott Levi, White & Case LLP,… [read post]
8 Dec 2021, 11:27 am
SEC RIAs. [read post]
8 Dec 2021, 7:27 am
SEC RIAs. [read post]
3 Dec 2021, 6:06 am
Berenblat, Olshan Frome Wolosky LLP, on Sunday, November 28, 2021 Tags: Advanced notice, Boards of Directors, Charter & bylaws, Delaware cases, Delaware law, Shareholder activism, Shareholder nominations, Shareholder voting SEC Staff Issues New Shareholder Proposal Guidance Posted by Marc Gerber, Ryan Adams, and Blake Grady, Skadden, Arps, Slate, Meagher & Flom LLP, on Monday, November 29, 2021 Tags: Climate… [read post]
21 Nov 2021, 9:00 pm
Note: On November 12, 2021, as this piece was going to print, the U.S. [read post]
8 Nov 2021, 6:26 am
Norwitz, and Sabastian V. [read post]
17 Sep 2021, 1:19 pm
You can read the petition for Securities and Exchange Commission v. [read post]
6 Sep 2021, 8:18 am
(Perhaps the most famous case is Katz v. [read post]
18 Jul 2021, 11:22 am
After the hearing, another Republican, Representative Scott Lipps, blamed Gross for having invited Tenpenny. [read post]
1 Jun 2021, 8:43 am
By Kevin Scott and Donna Ruscitti The past few weeks have provided some big developments in the area of data privacy and security. [read post]
4 May 2021, 8:49 am
Ballentine, Discussing Privacy in sec Subpoena Practice After Carpenter v. [read post]
31 Mar 2021, 3:02 am
Hunton Andrews Kurth’s Scott Kimpel alerted us that West Virginia’s Attorney General promptly responded with this letter to threaten a First Amendment lawsuit if the SEC adopts rules that require ESG disclosure. [read post]
18 Feb 2021, 5:14 am
Mangan, Esq., Mangan & Ginsberg LLP, and Michael Rothstein, Defendants (Memorandum, EDPA)Not Getting Away With What You Are Trying To Get Away With On Wall Street (BrokeAndBroker.com Blog)FINRA Bars Rep Over Private Securities TransactionsIn the Matter of Scott Wayne Reed, Respondent (FINRA AWC)SEC Awards Almost $3 Million Total in Separate Whistleblower Awards (SEC Release)... [read post]
17 Feb 2021, 9:22 am
FINRA Highlights The Risks Associated With Variable Annuities In FINRA’s AWC with VALIC, it stated “[v]ariable annuities are complex products . . . [read post]
8 Feb 2021, 6:36 am
Scott appeared in multiple news outlets including CNBC discussing the trading around Gamestop and the perceived relationship between wall street v main street. [read post]
5 Feb 2021, 6:01 am
Silk, Sabastian V. [read post]
22 Dec 2020, 9:43 am
SEC RIAs. [read post]
9 Oct 2020, 3:03 am
We note, however, that the SEC is still seeking disgorgement in some insider trading actions filed post-Liu, most notably in U.S. v. [read post]
