Search for: "In Re Securities and Exchange Commission"
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10 Sep 2020, 3:00 am
If you practice corporate or securities law and you don’t follow Ann on social media, you’re making a big mistake. [read post]
9 Sep 2020, 2:28 pm
(In re Marriott International Inc. [read post]
8 Sep 2020, 7:30 am
The Senate, Securities and Exchange Commission (“SEC”), and Nasdaq are in support of rule changes to restore faith in the marketplace and protect investors. [read post]
4 Sep 2020, 6:27 pm
John Kennedy (R-La) and Chris Van Hollen (D-Md) that would prohibit securities of a company from being listed on any of the U.S. securities exchanges if the company has failed to comply with PCAOB audits for three years in a row. [read post]
2 Sep 2020, 3:51 am
The CJEU declared it to infringe Article 19 (1) TEU in its judgment of 24 June 2019, C- 619/18 – Commission v. [read post]
31 Aug 2020, 3:00 pm
The alignment of activist short-sellers and plaintiff securities class action attorneys is an unintended association that facilitates the increase in frequency of claims that allege violations of the Exchange Act at the expense of directors and officers of U.S. [read post]
30 Aug 2020, 3:45 pm
The Securities and Exchange Commission made some small changes to the definition of “accredited investor” last week. [read post]
28 Aug 2020, 3:00 am
National/Federal After Online Warnings, Armed Civilians Bring Threat of Violence to Protests in Kenosha and Elsewhere Washington Post – Joshua Partlow, Isaac Stanley-Becker, and Mark Guarino | Published: 8/26/2020 Civilians carrying assault rifles and handguns were visible on the streets in Kenosha throughout the chaotic events that left two people dead and another wounded. [read post]
27 Aug 2020, 12:23 pm
During the re-investigation, Dr. [read post]
27 Aug 2020, 7:23 am
In a lawsuit brought by the Securities and Exchange Commission, the U.S. [read post]
19 Aug 2020, 5:48 pm
In an Illinois divorce, discovery is the exchange and search for the relevant records to affirm the parties assets, income and status for the purposes of negotiation and/or evidence for trial. [read post]
14 Aug 2020, 5:10 pm
Most true up clauses simply state that the parties shall exchange tax documents, 1099s, W2s, K-1s at a certain time of year. [read post]
13 Aug 2020, 12:15 pm
This issue of cyber workforce shortfalls and its impact on national security was a key focus of the Cyberspace Solarium Commission's (CSC) final report released earlier this year. [read post]
7 Aug 2020, 7:47 pm
OEIGWG CHAIRMANSHIP SECOND REVISED DRAFT 06.08.2020 LEGALLY BINDING INSTRUMENT TO REGULATE, IN INTERNATIONAL HUMAN RIGHTS LAW, THE ACTIVITIES OF TRANSNATIONAL CORPORATIONS AND OTHER BUSINESS ENTERPRISES Preamble The State Parties to this (Legally Binding Instrument),Reaffirming the principles and purposes of the Charter of the United Nations; Recalling the nine core International Human Rights Instruments adopted by the United Nations, and the eight fundamental Conventions… [read post]
7 Aug 2020, 3:00 am
-based federal appeals court is stepping into the legal dispute over former national security adviser Michael Flynn as it weighs whether a judge can be forced to dismiss a case the U.S. [read post]
Did You Invest In PAR Funding Through Retirement Evolution Group, LLC Or Its principal, John Gissas?
5 Aug 2020, 3:23 pm
On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to John Gissas and his central-Florida based company, Retirement Evolution Group, LLC, for their roles in an alleged half billion dollar fraud scheme. [read post]
4 Aug 2020, 6:53 am
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Jul 2020, 6:14 am
The Dodd-Frank Act also required the establishment of the Securities and Exchange Commission (SEC) Whistleblower Program and the Commodity Futures Trading Commission (CFTC) Whistleblower Program. [read post]
27 Jul 2020, 5:58 am
These include the following:net liquid assets method, which is based primarily on existing capital requirements for FCMs, and on the capital requirements adopted by the Securities and Exchange Commission for security-based swap dealers and major security-based swap participants;bank-based method, which is based primarily on existing capital requirements for bank holding companies under the supervision of the Federal Reserve Board; andtangible net worth… [read post]
27 Jul 2020, 4:00 am
… Canadian Securities LawOSC and BCSC Sign Oversight Agreement Regarding the Canadian Securities Exchange On July 16, the Ontario Securities Commission (OSC) announced that it has entered into a Memorandum of Understanding (MOU) with the British Columbia Securities Commission (BCSC) regarding the oversight of the Canadian Securities Exchange (CSE). [read post]
