Search for: "Smith v. Securities and Exchange Commission"
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21 Jun 2017, 8:47 am
Somers 16-1276 Issue: Whether the anti-retaliation provision for “whistleblowers” in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 extends to individuals who have not reported alleged misconduct to the Securities and Exchange Commission and thus fall outside the act’s definition of “whistleblower. [read post]
21 Jun 2017, 7:59 am
Somers, 16-1276 Issue: Whether the anti-retaliation provision for “whistleblowers” in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 extends to individuals who have not reported alleged misconduct to the Securities and Exchange Commission and thus fall outside the act’s definition of “whistleblower. [read post]
10 Jun 2017, 9:19 pm
SECURITIES AND EXCHANGE COMMISSION [read post]
5 Jun 2017, 7:22 am
Smith-Wythe Airport Commission, et al. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order to qualify… [read post]
17 Feb 2017, 6:56 am
Smith, The Morality of Regulation --Notes and Questions E. [read post]
6 Nov 2016, 4:14 pm
Karl Oyston, Owen Oyston’s son and owner of the club has admitted ‘We shouldn’t have sued Jeremy Smith. [read post]
24 Aug 2016, 4:26 pm
” Her Honour referred with approval to the following statement in Australian Securities and Investments Commission v Citrofresh International L [read post]
15 Aug 2016, 6:36 am
More importantly, the Second Circuit stated, the conclusion in Sacks is no longer tenable following the Supreme Court’s decision in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
18 May 2016, 5:45 am
*************************************************** In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
22 Feb 2016, 4:36 pm
The registration process requires that the information provided is accurate; however, the Securities and Exchange Commission (SEC, which was created under the 1934 Act) does not guarantee its accuracy. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
14 Jan 2016, 5:10 pm
In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]
13 Dec 2015, 4:29 pm
The European Parliament, Council and Commission have come to an agreement on the Network and Information Security (NIS) Directive. [read post]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
5 Oct 2015, 1:00 am
Another example would be the understanding of the concept of jurisdiction which we finally resolved in Smith and Ellis (Smith & Ors v The Ministry of Defence [2013] UKSC 41). [read post]
26 Jun 2015, 12:00 pm
Securities and Exchange Commission 14-471Issue: Whether a defendant in a Securities and Exchange Commission civil enforcement action can be ordered to disgorge profits that he or she never received, possessed, or controlled, but that instead accrued directly to innocent third parties. [read post]
25 Apr 2015, 4:21 am
On April 27, 2015, the Securities And Exchange Commission ("SEC") announced it was denying whistleblower awards to one individual who claimed eligibility under five covered actions. [read post]
27 Nov 2014, 12:00 am
[xxxviii] Since Bitcoin has gained so much traction from people investing in bitcoins as capital assets, it seems fitting that the Securities and Exchange Commission (“SEC”) regulate it, as the SEC’s mission is to monitor the capital markets to ensure investors are operating in a fair and efficient marketplace. [read post]
