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22 Feb 2016, 4:36 pm
The Securities Act of 1933 does not permit the SEC to bring an enforcement action on behalf of an individual investor; however, individual investors are permitted to bring civil actions under several of its sections as noted below: ■ Section 5 and Section 12(a)(1) allow purchasers (investors) to sue issuers for offering or selling a non-exempt security without registering it. [read post]
26 Oct 2011, 3:28 pm
§ 45(a)(1) (emphasis added). [read post]
21 Jun 2017, 9:37 pm
About 95% have revenues of less than $1 million and reportedly account for only about 6% of total donations. [read post]
13 Mar 2024, 4:00 am
Moreover, the term “shall” at the beginning of the first sentence reflects that the obligation is binding on Canada and does not give space for discretionary application of the rule. [read post]
3 Dec 2013, 12:00 am
On May 25, 2012 Space Exploration Technologies Corp. [read post]
2 Jan 2021, 2:04 pm
Subject to certain exemptions, information must be obtained from (i) each individual owning 25% or more of the equity interest of a legal entity customer and (ii) an executive officer or senior manager of the legal entity. [read post]
5 Feb 2019, 12:54 pm
Subject to certain exemptions, information must be obtained from (i) each individual owning 25% or more of the equity interest of a legal entity customer and (ii) an executive officer or senior manager of the legal entity. [read post]
19 Jun 2014, 3:04 am
The lawsuit does not contend that such large sums will be awarded. [read post]
21 Jun 2017, 8:27 am
Less than 1% of 2016 complaints resulted in litigation. [read post]
22 Jul 2011, 5:47 am
Does this prove that regulatory agencies are captured or not regulating in the public interest? [read post]
10 Sep 2018, 10:17 am
E.g., Davis at 187 tbl.1; see also Dist. [read post]
10 Apr 2013, 9:13 am
See Dkt 86, at 1:28- 2:2 (“it appears that these persons, and their related entities, may have defrauded the Court through their acts and representations in these cases. [read post]
4 Apr 2010, 10:50 pm
I worked for government entities and learned a lot. [read post]
14 Jan 2014, 6:06 am
The plan administrator last paid a claim on December 24, 2009, and the complaint argues that this means the plan sponsor actually terminated the plan on December 25, 2009. [read post]
17 Sep 2023, 5:51 am
Late payment of regulatory fees will generally result in a 25% penalty plus interest, so commercial broadcasters should be preparing their fee submissions now to be sure to meet the September 20 deadline. [read post]
26 May 2017, 6:06 am
Luce Seyfarth Synopsis: On May 25, 2017, Noah Finkel spoke at our full-day summit about what to expect from the DOL under the new administration. [read post]
21 Mar 2016, 4:58 pm
These articles relate to the conduct of public utilities and state-owned entities (now covered by Art. 7 of the AML), selling at below cost (now covered by Art. 17(1) and (2) of the AML) tying (now covered by Art. 17(5) of the AML), and abuse of administrative power (now covered by Art. 32-37 of the AML). [read post]
7 Mar 2017, 6:54 am
Ill., May 25, 2016). [read post]
1 Jul 2015, 7:49 am
The following piece, written by the Hogan Lovells privacy team, was posted to the International Association of Privacy Professionals’ (IAPP) Privacy Tracker on June 25. [read post]
9 Oct 2015, 2:34 pm
If the Agency does not investigate, then the plaintiff can proceed with the claim. [read post]
