Search for: "In Re Securities and Exchange Commission"
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12 Jun 2009, 11:03 am
Osborne Professor of Law at Stanford, and prior to that, a Professor of Law at Columbia Law School, counsel to a commissioner of the Securities and Exchange Commission, an attorney at Skadden Arps in New York, and a clerk for the Hon. [read post]
10 Nov 2010, 5:00 am
With Dodd-Frank‘s elimination of the 15 client exemption, thousands (my guess) of private fund managers will need to register with the Securities and Exchange Commission as investment advisers to their funds. [read post]
27 Sep 2011, 5:37 pm
The Federal Trade Commission, very active already in enforcing privacy rights, security obligations, and prohibitions against misleading advertising and marketing, has issued its initial staff report: Protecting Consumer Privacy in an Era of Rapid Change. [read post]
8 Mar 2012, 12:30 pm
Securities and Exchange Commission, spoke on a panel Thursday at Georgetown University Law Center’s annual Corporate Counsel Institute. [read post]
5 Aug 2008, 3:36 pm
The firm also disclosed Friday in a regulatory filing that it has received subpoenas or requests for information from the Securities and Exchange Commission, among others, in connection with its handling of auction-rate securities. [read post]
7 May 2009, 2:17 pm
Give the Securities and Exchange Commission and its new chairman, Mary Schapiro, credit where it is due. [read post]
1 Jun 2012, 5:06 am
Shaw, Merrill Lynch and JPMorgan Chase — and at least one is a former Securities and Exchange Commission regulator. [read post]
18 Feb 2020, 10:00 am
’s nascent 5+5 Libyan Joint Military Commission. [read post]
22 Nov 2016, 6:51 am
“At this stage, we’re going to need a change in how all parties think about this in order for us to end the situation there. [read post]
21 Nov 2011, 2:00 am
The Securities and Exchange Commission (the “SEC”), in a broad ranging Concept Release issued in July 2010, acknowledged that its staff is in the process of reviewing current disclosure requirements relating to holdings of financial instruments, including short sale positions and derivatives positions often utilized by activist investors to magnify their economic return. [read post]
4 Jun 2010, 7:31 am
Members of Congress are under growing political pressure as the election approaches, and anti-bank sentiment has been worsened by recent disclosures about the industry, including the Securities and Exchange Commission’s civil lawsuit against Goldman Sachs. [read post]
25 Nov 2020, 3:07 am
The proposed amendments would also permit an Exchange Act reporting company to make registered securities offerings to its platform workers using Form S-8. [read post]
20 Jan 2015, 4:20 pm
The Securities and Exchange Commission (SEC) has opened an investigation of GAW Miners and its CEO Josh Garza, according to CoinFire, a Bitcoin news site, which on Tuesday cited “1,000 pages of a [leaked] investigation file. [read post]
4 Jul 2017, 6:46 pm
This is a problem we set out to improve a couple of years ago in the US with the introduction of Sqoop, a free data journalism site intended to make it easier for reporters to find and track public records, starting with the Securities and Exchange Commission (SEC), the Patent Office, and the federal court system, otherwise known as PACER (public access to court automated records). [read post]
20 Dec 2015, 7:13 am
[2] In so doing, the employer re-invigorated the debate over whether Dodd-Frank’s anti-retaliation protections cover individuals who report to their employers, as opposed to contacting the Securities and Exchange Commission (“SEC”). [read post]
20 Jun 2016, 2:32 pm
This is the second civil suit filed against the company within the last six months—it was sued by the Securities and Exchange Commission in December 2015 over similar accusations of fraud. [read post]
4 Aug 2009, 11:19 pm
Securities and Exchange Commission lawyer. [read post]
25 Aug 2016, 7:51 am
As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
29 Oct 2013, 11:00 am
The SEC alleged that Cuban engaged in insider trading, in violation of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and SEC Rule 10b-5, by selling his shares of Mamma.com, after learning that the company was to engage in a PIPE offering, in advance of the public announcement—allegedly avoiding losses of $750,000. [read post]
