Search for: "Securities & Exchange Commission v. Topping" Results 61 - 80 of 335
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5 Jan 2020, 2:52 pm by Kevin LaCroix
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
31 Dec 2019, 8:13 am by CFM Admin
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
23 Dec 2019, 11:29 am by Allan Blutstein
Circuit would have tremendous consequences not just for “consultants,” but also for records exchanged with Congress, the President, and non-FOIA-subject agencies. [read post]
10 Dec 2019, 9:01 pm by Michael C. Dorf
A similar rationale might be offered for partisan-balance rules applicable to various federal agencies, including the Federal Deposit Insurance Corporation, the Federal Trade Commission, the Securities and Exchange Commission, the Federal Communications Commission, the Commission on Civil Rights, the Federal Energy Regulatory Commission, and the Federal Election Commission.The Third Circuit opinion expressed skepticism about whether… [read post]
24 Sep 2019, 6:11 am by Tinker Ready
And on Monday, Senator Chuck Grassley (R-IA), introduced a bill that advocates say will protect whistleblowers who report financial crimes internally before going to the Securities and Exchange Commission (SEC). [read post]
16 Sep 2019, 2:45 am by Liz Dunshee
The Securities and Exchange Commission (SEC) brought an enforcement action against Malouf, and the Tenth Circuit affirmed an administrative law judge’s finding that Malouf had violated Exchange Act Rules 10b-5(a) and (c) and Sections 17(a)(1) and (a)(3) of the Securities Act. [read post]
2 Sep 2019, 6:05 am
As the protest in Hong Kong entered its 13th week, a public dialogue that runs parallel to the protest has been unfolding between and among state actors. [read post]
9 Aug 2019, 3:00 am by Jim Sedor
Joaquin Castro Tweeted the Names of Top Trump Donors. [read post]
16 Jul 2019, 10:18 am by CFM Admin
  Entering the third quarter, we would like to highlight some items we hope will help you stay on top of the business and regulatory landscape in the coming months. [read post]
24 Jun 2019, 11:59 am by Lubiner, Schmidt & Palumbo, LLC
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
12 Jun 2019, 6:38 am by Kristian Soltes
Securities and Exchange Commission’s (the “SEC”) recently filed complaint against Kik Interactive Inc. [read post]
8 Jun 2019, 7:05 pm
(Pix © Larry Catá Backer 2019)This post is the third of a series of three posts in which the CPE WGE examine the question of paths to empire performed through the choices being made by the U.S. and Chinese leadership cores [领导核心] within the theater of the U.S. [read post]
11 May 2019, 8:43 am by Arina Shulga
Every offer and sale of securities must be registered with the Securities and Exchange Commission (the “SEC”) pursuant to the registration requirements of Section 5 of the Securities Act of 1933 (the “Securities Act”) unless such offering qualifies for one of existing exemptions. [read post]
22 Apr 2019, 4:53 pm by CFM Admin
  The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
The Securities and Exchange Commission (SEC) is concerned that the offering and sale of virtual currency (or “tokens”) is a sale of a security under the Securities Act of 1933, and that such offerings should comply with offering regulations, including providing appropriate disclosure to investors in order to prevent fraud. [read post]