Search for: "Securities and Exchange Commission v. May"
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13 Feb 2024, 9:09 am
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state… [read post]
5 Feb 2024, 1:30 pm
If any of your Charter rights have been violated before or after your arrest, you may be able to have some or all of the evidence that the Crown is relying on to secure a conviction excluded under s. 24(2) of the Charter. [read post]
5 Feb 2024, 10:06 am
Co. v. [read post]
Two Pending Cases Before the U.S. Supreme Court Could Substantially Impact New Jersey Employment Law
2 Feb 2024, 8:05 am
This is part of the dispute now before the Supreme Court in Securities and Exchange Commission v. [read post]
31 Jan 2024, 11:31 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
30 Jan 2024, 9:02 pm
”[5] Finally, the Commission’s mandatory language states that “[i]f Defendant breaches this agreement, the Commission may petition the Court to vacate the Final Judgment and restore this action to its active docket. [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
25 Jan 2024, 4:06 am
That same year, in Caratube v Kazakhstan, confidential information was leaked from the Kazakh government’s IT system and the claimant eventually obtained some of the leaked documents. [read post]
22 Jan 2024, 9:05 pm
ENDNOTES [1] SEC v. [read post]
22 Jan 2024, 9:01 pm
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
11 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) approved bitcoin exchange-traded funds (ETFs), allowing investors to buy and sell bitcoin just like stocks and other financial instruments. [read post]
10 Jan 2024, 9:01 pm
May 28, 2019); SEC v. [read post]
10 Jan 2024, 2:12 pm
” Not alone, but lonelier then than now before the advent of decisions such as Securities and Exchange Commission v. [read post]
8 Jan 2024, 5:42 pm
Moab Partners, L.P. is whether a violation under a Securities and Exchange Commission regulation, Item 303 of Regulation S-K, can support a claim of securities fraud. [read post]
4 Jan 2024, 1:58 pm
It is common in many places to assume that the victim of abuse may well reproduce or project that abuse onto others. [read post]
4 Jan 2024, 12:10 pm
”According to FINRA, this matter reportedly originated from an Investor Complaint Form submitted to FINRA referencing Securities and Exchange Commission v. [read post]
4 Jan 2024, 12:09 pm
Attorney General determines that public disclosure would be a substantial threat to national security or public safety, the Securities and Exchange Commission (SEC) requires that public companies must report a cyber incident, typically by filing a publicly available Form 8-K, within: a. [read post]
3 Jan 2024, 7:54 am
Securities & Exchange Commission v. [read post]
2 Jan 2024, 4:57 am
The two cases involve challenges to the funding mechanism for the Consumer Financial Protection Bureau and to the administrative enforcement proceedings before the Securities and Exchange Commission. [read post]
