Search for: "State v. Investors Security Corporation"
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10 Dec 2009, 6:09 am
The stated purpose of the CRARA was to "improve ratings quality for the protection of investors and in the public interest by fostering accountability, transparency, and competition in the credit rating agency industry. [read post]
20 Apr 2023, 9:05 pm
Such quarterly disclosures state whether the issuer’s relevant officers or directors have traded in securities subject to the issuer’s buyback program within 10 business days before or after its announcement.[8] Shortcomings of the SEC’s Reforms The key shortcoming of the SEC reforms are the absence of prospective disclosure requirements with respect to the adoption of Rule 10b5-1 Trading Arrangements and other trading arrangements despite its stated… [read post]
19 Mar 2012, 3:00 am
Airflow Catalyst Systems, Inc. v. [read post]
5 Mar 2023, 9:01 pm
The staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporate Finance recently issued guidance to address open questions related to the final pay-versus-performance (PVP) disclosure rules adopted in 2022. [read post]
5 Apr 2019, 5:58 am
Pruitt, Jones Day, on Tuesday, April 2, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Investment advisers, Investor protection, Mutual funds, Reporting regulation, Retail investors, SEC, SEC enforcement FCPA and the Commodity Exchange Act: A New Relationship Posted by David Yeres, David DiBari, and Robert Houck, Clifford Chance US LLP, on Tuesday, April 2, 2019 … [read post]
11 Feb 2024, 9:01 pm
Case Background The Supreme Court is poised to resolve this circuit split in Macquarie Infrastructure Corporation v. [read post]
25 Apr 2020, 7:37 am
The players The main players in the $3.82 trillion municipal securities market are issuers–the municipalities who sell the bonds, investors–including financing companies like the litigants, banks and smaller buyers, and broker-dealers that provide marketing, pricing and underwriting services. [read post]
30 Mar 2008, 2:59 pm
Super Future Equities, Inc. v. [read post]
20 Mar 2008, 10:00 am
Indictment, United States v. [read post]
30 Jan 2011, 12:33 pm
United States v. [read post]
26 Aug 2022, 6:30 am
Birnbaum, and Haimavathi V. [read post]
26 Aug 2022, 6:30 am
Birnbaum, and Haimavathi V. [read post]
7 Mar 2010, 7:58 am
Editor’s Note: Edward Greene is a partner at Cleary Gottlieb Steen & Hamilton LLP focusing on corporate law matters. [read post]
14 May 2021, 6:07 am
Goldstein, Schulte Roth & Zabel LLP, on Tuesday, May 11, 2021 Tags: Beneficial owners, Corporate Transparency Act, Disclosure, Financial regulation, FinCEN, LLCs, Securities enforcement, Securities regulation, Transparency When a Company Takes a Stand, What is the Board’s Role? [read post]
25 Jun 2011, 10:55 pm
” The case, Janus Capital Group Inc. v. [read post]
20 Apr 2011, 2:14 am
Strathy examined the litigation funding agreement that the plaintiffs had entered in connection with their putative securities class action claims against Manulife Financial Corporation. [read post]
9 Nov 2009, 1:33 am
With respect to the knowledge element, the court found that the complaint adequately alleged that the Rating Agencies knew that even though the high ratings assigned to the notes made the notes appear as safe as corporate bonds, the SIV portfolio that backed the notes consisted of high risk mortgage-backed securities. [read post]
4 Sep 2014, 3:19 am
[v] The SEC Certainly the majority of the federal activity on cyber security issues has come from the SEC. [read post]
17 Mar 2014, 8:05 am
This would thwart the Act’s express purpose of “protect[ing] investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws. [read post]
18 Dec 2015, 6:54 am
Jammin’ Java Corp. is a Nevada corporation that is currently headquartered in Denver, Colorado. [read post]
