Search for: "State v. Investors Security Corporation" Results 101 - 120 of 1,466
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
10 Jun 2016, 6:15 am
Park, University of California, Los Angeles , on Friday, June 3, 2016 Tags: Disclosure, Dodd-Frank Act, Federalism, Investor protection, Misconduct, Rule 10b-5, Securities Act, Securities fraud, Securities regulation, Shareholder value, SOX, State law, Stock mispricing Remarks on Optimizing the Equity Markets Posted by Mary Jo White, U.S. [read post]
22 Feb 2017, 8:22 am by Doug Cornelius
Federal law uses some variation of the factors stated in S.E.C. v. [read post]
The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. [read post]
27 Jul 2013, 3:40 pm by Stephen Bilkis
Sometime in 1970, Congress enacted the Securities Investor Protection Act (SIPA), as amended, which authorized the formation of respondent corporation, a private nonprofit corporation, of which most broker-dealers registered under § 15(b) of the Securities Exchange Act of 1934, § 78o(b), are required to be members. [read post]
25 Feb 2021, 9:08 am by Philip R. Stein and Kenneth Duvall
The most lucrative claims might be securities violations (both state and federal).[1]  But because CLOs are typically distributed to qualified institutional buyers, CLOs are often encompassed by Rule 144A of the Securities Act, meaning that some causes of action under the federal securities act are unavailable. [read post]
7 Dec 2010, 6:33 am by John Jascob
The North American Securities Administrators Association (NASAA) has filed a joint amicus brief with AARP in the case of Janus Capital Partners v. [read post]
2 Nov 2014, 11:14 am by Richard Booth
Securities fraud is back in the Supreme Court in Omnicare, Inc. v. [read post]
9 May 2017, 6:30 am
By rejecting this argument and emphasizing that federal securities law regulates disclosure while state corporate law regulates the internal affairs of the corporation, the Supreme Court helped open the door to Delaware’s dominance of corporate law for the next two decades. [read post]
20 May 2024, 4:00 am by Unknown
By Anne Sherry, J.D.The Council of Institutional Investors (CII) is urging the Delaware State Bar Association to hit pause on recommending that the state legislature overturn a judicial decision. [read post]