Search for: "SEC v. Tier"
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15 Jun 2016, 5:57 am
The appellate panel also rejected arguments that amended Regulation A should be vacated as arbitrary and capricious because the SEC failed to explain adequately how the rule protects investors (Lindeen v. [read post]
18 Apr 2016, 7:44 am
The states have asked the court to vacate the rule, contending that the SEC’s failure to impose any meaningful standards on the “qualified purchasers” eligible to invest in Tier 2 offerings oversteps the authority delegated to the Commission under the JOBS Act and strip investors of valuable state law protections (SEC v. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
29 Oct 2015, 7:18 am
The amendments also create two tiers of offerings under Regulation A while preempting Tier 2 offerings of up to $50 million from state regulation. [read post]
15 Oct 2015, 7:15 am
The group said its members would bear the adverse consequences of striking the preemption provision, a result sought by the states of Montana and Massachusetts in their suit against the SEC (Lindeen v. [read post]
9 Sep 2015, 8:53 am
Circuit’s opinion in Landry v. [read post]
9 Aug 2015, 8:24 pm
Courts have also struggled with this ambiguity (see e.g., Somers v. [read post]
6 Aug 2015, 6:18 am
Courts have also struggled with this ambiguity (see e.g., Somers v. [read post]
18 Jun 2015, 4:00 am
SEC and Galvin v. [read post]
7 Jun 2015, 5:24 pm
Supreme Court issued its 2010 decision in Morrison v. [read post]
3 Jun 2015, 10:23 am
If pursued, the DOJ’s probe could be the biggest antitrust hit taken by the movie theater industry since the United States Supreme Court’s landmark decision in United States v. [read post]
28 May 2015, 6:07 am
SEC, May 22, 2015, Galvin v. [read post]
13 Jan 2015, 8:25 am
Title V of the Act is the Swap Data Repository and ClearinghouseIndemnification Correction Act. [read post]
5 Jan 2015, 3:31 pm
SEC Registered IA. [read post]
9 Dec 2014, 10:38 am
An attendant goal is to demonstrate to regulators, such as the SEC, OCIE, FINRA, or FTC, that you have paid attention and planned ahead. [read post]
16 Nov 2014, 10:15 am
After Dismissal Court Lacked Subject-matter Jurisdiction Magloire v. [read post]
21 Oct 2014, 6:03 am
As the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) have recently noted, these products may not be as safe and stabile as advertised. [read post]
13 Aug 2014, 3:59 am
”[v] If SEC or other proposed federal regulation of cybersecurity becomes a reality, implementing the Framework could be a mandatory exercise. [read post]
18 Jul 2014, 10:40 am
Certain individuals who have signature authority over, but no financial interest in, one or more foreign financial accounts (including officers and employees of the SEC-registered investment advisers who have only signature authority over foreign financial accounts) have been given an extension until June 30, 2015. [read post]
24 May 2014, 5:00 am
Following up on Steven Bradford’s post regarding the Fourth Circuit’s interpretation of Janus Capital Group v. [read post]
