Search for: "State v. Hester"
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19 Jan 2018, 6:30 am
Hamm (The Ohio State University), Michael J. [read post]
2 Sep 2022, 6:30 am
FEC, Disclosure, Political spending, State law, Taxation SEC Bulletin on Conflicts of Interest for Broker-Dealers and Investment Advisers Posted by W. [read post]
11 Mar 2022, 1:05 pm
In addition, the SEC took the position that the BIAs are notes under the four-part test articulated in Reves v. [read post]
25 Apr 2024, 9:05 pm
For example, in Liu v. [read post]
8 Oct 2020, 3:03 am
” In her statement in support of the proposal, Commissioner Hester M. [read post]
13 Feb 2023, 7:28 am
By Mark S. [read post]
10 Nov 2024, 1:30 pm
See Buford v. [read post]
30 Jan 2024, 9:02 pm
”[2] In that same policy, the Commission articulated its belief “that a refusal to admit the allegations is equivalent to a denial, unless the defendant or respondent states that he neither admits nor denies the allegations. [read post]
11 Aug 2024, 9:01 pm
”[7] By “traditional notions,” the Adopting Release refers to other SEC regulations and relevant Supreme Court case law (in particular, TSC Industries v. [read post]
21 Nov 2024, 9:05 pm
Director Rohit Chopra can be removed from the Consumer Financial Protection Bureau (CFPB) without cause following the Supreme Court’s 2020 ruling in Seila Law LLC v. [read post]
18 Dec 2024, 10:37 am
Supreme Court‘s dismissal of a writ of certiorari in late November in Facebook Inc. v. [read post]
18 Jul 2022, 11:30 pm
In the landmark decision SEC v. [read post]
22 Apr 2019, 4:53 pm
On February 8, 2019, SEC Commissioner Hester Peirce provided remarks concerning regulation and innovation. [read post]
14 Nov 2024, 9:01 pm
Possible Regulatory Developments at the SEC – Advisers to Private Funds As compared to Chair Gensler’s tenure, and in light of the Fifth Circuit’s decision in National Association of Private Fund Managers et al. v. [read post]
28 Mar 2023, 9:01 pm
In a statement, Commissioner Hester Peirce objected to the proposed amendments as overly prescriptive. [read post]
6 Sep 2023, 9:01 pm
When it approved the CAT, the Commission stated that plan participants could “recoup their regulatory costs . . . through the collection of fees from their members, as long as such fees are reasonable, equitably allocated, and not unfairly discriminatory. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
24 Oct 2019, 2:40 pm
The Telegram TRO Dating back to as early as 2014, the SEC began bringing enforcement actions relating to cryptocurrency, and with its October 11, 2019 filing of SEC v. [read post]
17 Sep 2010, 7:47 am
Just click here to see the bills for a specific state. [read post]
