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26 Sep 2011, 12:53 am
The prohibitions of paragraph (b) above shall not apply to allocations of securities that are directed in writing by the issuer, its affiliates, or selling shareholders, so long as the member has no involvement or influence, directly or indirectly, in the allocation decisions of the issuer, its affiliates, or selling shareholders with respect to such issuer-directed securities. .02 Annual Representation. [read post]
8 Mar 2020, 9:16 am
Other courts applying the law of jurisdictions other than Texas may not recognize the distinction in Texas law between material and immaterial conditions of notice. [read post]
20 Apr 2009, 2:14 am
Discussion I have four different reactions to this decision, each one based on different perspectives I have acquired over the years as a participant in different parts of the insurance underwriting and claims handling process. [read post]
21 Feb 2012, 7:25 am
” This is a different standard than the “full, true and plain” standard that applies to the contents of a prospectus. [read post]
19 Apr 2021, 2:58 am
” Underwriting Costs: Underwriting fees for SPAC IPOs are based on a percentage of the proceeds raised, as with traditional IPOs. [read post]
5 Nov 2015, 1:47 pm
The revised policy will apply to appeals of any exam report emailed on or after September 21, 2015. [read post]
30 Jul 2020, 9:21 am
As background, the CFPB issued a bulletin in 2012 (Bulletin 2012-14, Fair Lending) confirming that it planned to apply a disparate impact test in exercising its supervisory and enforcement authority under ECOA and Regulation B. [read post]
13 Jan 2012, 4:18 am
The authors also applied control variable to isolate the effect of a firm’s optimism that is driven by management discretion, rather than by the firm’s economic circumstances. [read post]
17 Jun 2018, 9:36 am
– through diligent underwriting. [read post]
12 Apr 2012, 2:00 am
The court then remanded the case to the Ninth Circuit to consider how the traditional rules of equitable tolling apply to the facts of the case. [read post]
7 Dec 2020, 2:23 pm
In September 2019, a Ruhnn investor filed a securities class action lawsuit in New York state court against the company; certain of its directors and officers; and its offering underwriters. [read post]
5 Jun 2019, 10:28 am
Certain Underwriters at Lloyd’s to determine the Convention preempted the Louisiana state law. [read post]
10 Jul 2014, 4:38 am
PLUS Webinar on the Halliburton Decision: On Monday July 14, 2014, at 12:30 pm EDT, the Professional Liability Underwriting Society will be hosting a free webinar on the U.S. [read post]
10 Feb 2023, 6:12 am
” The court applied the same reasoning to Pirani’s claims under Section 12(a)(2), which also contains the phrase “such security. [read post]
3 Mar 2014, 2:31 pm
I sometimes wonder whether insurance underwriters have Uncle Carmen’s attitude about the coverage they construct. [read post]
22 Apr 2020, 7:40 am
But does that apply to regulators who may seek to bring FCA suits against banks for alleged fraudulent certifications of PPP loans? [read post]
23 Jan 2023, 4:00 am
Without condoning any particular leak, I would say the doctrine gets the balance about right, as applied to the Court no less than to the Pentagon or the people whose conversation was unlawfully intercepted and recorded in Bartnicki. [read post]
18 Apr 2012, 8:33 pm
It principally applies when the "plaintiff is actively misled by the defendant . . . or is prevented in some extraordinary way from exerting his rights." [read post]
3 Dec 2014, 3:33 pm
The final report will be due 180 days after the implementation of the preliminary report’s recommendations, after which the respondents may apply for a waiver covering the remaining 30 months of the disqualification period. [read post]
15 Nov 2016, 10:00 pm
When bringing this type of opposition before the TTAB, the owner(s) of the family of marks will need to provide evidence of past marketing and advertising to prove the distinctiveness of the common element in the family of marks, as well unity of control over the use of the marks and the nature and quality of the goods or services to which the mark(s) apply. [read post]
