Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
23 Apr 2009, 4:20 am
Securities and Exchange Commission, the principal laws that protect investors and preserve business integrity are (i) the Securities Act of 1933, (ii) the Securities Act of 1934, (iii) the Trust Indenture Act of 1939, (iv) the Investment Company Act of 1940, (v) the Investment Advisers Act of 1940, and (vi) the Sarbanes-Oxley Act of 2002. [read post]
14 Jan 2019, 3:08 pm
Securities and Exchange Commission, 137 S. [read post]
10 Jul 2019, 4:17 am
Many of the issued tokens have been or are being provided to related entities to compensate employees, similar to stock option grants. [read post]
14 Apr 2015, 4:50 pm
Securities and Exchange Commission (SEC) in March 2015 regarding Fenway’s treatment of fees and expenses incurred by its sponsored funds’ portfolio companies. [read post]
3 Nov 2022, 11:00 pm
Accordingly, Brazil has a very complex legal system, with a set of specific laws — issued by the Federal, State and Municipal Governments — and regulations — issued by administrative governmental authorities, such as the Central Bank of Brazil and the Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários) — governing a variety of situations and environments, including rules applicable to the members of the… [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
18 Apr 2008, 2:00 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
28 Jan 2023, 7:32 am
Meanwhile, the Securities and Exchange Commission unveiled a slew of guidance and rule proposals to improve disclosures and add clarity to ESG investing, including the agency’s controversial proposal for climate risk disclosure. [read post]
16 Apr 2009, 1:44 pm
" He has sued Gary Weiss, the Securities and Exchange Commission, and Yahoo claiming among other things delusional criminal conspiracies singling out Jews, in particular. [read post]
12 Apr 2010, 10:44 am
Click Here American Trucking Association et al. v. [read post]
4 Jan 2017, 3:55 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
