Search for: "Securities and Exchange Commission v. May"
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23 Jan 2012, 5:00 am
Aug. 26, 2011), the District Court for the District of Colorado denied the Securities and Exchange Commission’s (“SEC”) motion for temporary restraining order and other emergency relief. [read post]
4 Nov 2013, 5:33 am
Take a look at the offering of Bio Profit Series V, LLC detailed in an enforcement action by the Securities and Exchange Commission. [read post]
28 Jun 2011, 11:47 am
–based securities laws violations, Section 21 of the Exchange Act provides proper authority for the relief sought by the commission,” she held. [read post]
29 Dec 2022, 12:15 am
According to the Securities and Exchange Commission, a DAO is a " term used to describe a 'virtual' organization embodied in computer code and executed on a distributed ledger or blockchain". [read post]
3 Mar 2021, 5:49 am
Securities and Exchange Commission apply to administrative proceedings. [read post]
3 Feb 2009, 2:13 am
The English Court of Appeal has shown its readiness to cooperate with foreign regulators – in this case, the US Securities and Exchange Commission – by agreeing to freeze allegedly suspect assets.In the case of Securities and Exchange Commission v Manterfield [2009] EWCA Civ 27, the defendants, who were involved in an international investment fund, appealed against the High Court's decision to continue a… [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
18 May 2015, 2:18 pm
The issuance or sale of securities is subject to regulation by the United States Securities Exchange Commission and by authorities in every state, including the Securities Division of the Office of the Indiana Secretary of State. [read post]
11 Jan 2017, 10:36 am
Just before the clock struck 2017, the United States Court of Appeals for the Tenth Circuit weighed in on the constitutionality of the United States Securities and Exchange Commission’s (“SEC” or “Commission”) administrative law judges. [read post]
16 Jul 2019, 10:22 am
Securities and Exchange Commission 18-1566 Issue: Whether Section 929P(b) of the Dodd-Frank Act’s jurisdictional amendments conferred substantive extraterritorial reach under Sections 10(b) and 17(a) of the Securities Exchange Act in Securities and Exchange Commission enforcement actions and in federal criminal prosecutions. [read post]
6 May 2012, 8:07 am
Securities and Exchange Commission. [read post]
19 May 2010, 10:39 am
Securities and Exchange Commission (SEC) was planning to announce proposals for new circuit breaker rules to address issues stemming from the market volatility of May 6. [read post]
28 Jul 2011, 10:14 pm
Interestingly, a settlement in May 2006 with the Securities Exchange Commission required the notice. [read post]
3 Aug 2022, 6:31 am
Securities and Exchange Commission (“SEC”) has the legal authority to adopt and enforce its proposed climate-related disclosure rule. [read post]
3 Aug 2022, 6:31 am
Securities and Exchange Commission (“SEC”) has the legal authority to adopt and enforce its proposed climate-related disclosure rule. [read post]
10 Apr 2012, 12:36 pm
Norris (“Norris”) petitions for review of an arbitrator’s decision affirming his removal from his position as a Trial Attorney with the Securities and Exchange Commission (“SEC”). [read post]
11 Nov 2014, 7:15 pm
This case concerns Section 11 of the Securities Act of 1933, which authorizes suit by a purchaser of securities issued under a registration statement filed with the Securities and Exchange Commission--if the registration statement “contained an untrue statement of material fact or omitted to state a material fact required to be stated therein or necessary to make the statement therein not misleading. [read post]
26 Jun 2018, 6:46 am
In a completely unsurprising statement, a high-ranking official at the Securities and Exchange Commission said that Bitcoins are not securities. [read post]
28 Aug 2020, 12:48 pm
Securities and Exchange Commission adopted final rules that amend the definitions of “accredited investor” and “qualified institutional buyer” which are central to classifying investors that may participate in private offerings and investments under federal securities laws. [read post]
22 May 2012, 11:02 am
On May 15, 2012, the Ninth Circuit Court of Appeals affirmed the decision of the district court finding in favor of the Securities Exchange Commission (“SEC”) on allegations that Carl Jasper, the former Chief Financial Officer of Maxim Integrated Products, Inc., violated various provisions of the securities laws in connection with the company’s stock options backdating scheme. [read post]
