Search for: "In Re Securities and Exchange Commission"
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14 Aug 2023, 9:10 pm
More from Ann: [I]n In re Carter-Wallace Sec. [read post]
8 Oct 2010, 8:34 am
The Second Circuit concluded further that because only the Securities & Exchange Commission (“SEC”) may enforce Section 304, a settlement agreement between a shareholder derivative plaintiff and a CEO and CFO may not purport to indemnify or release those senior corporate executives from liability under Section 304. [read post]
9 Aug 2018, 9:50 am
I certainly hope they’re right about that. [read post]
26 Oct 2010, 10:48 am
• In addition to its role enforcing the federal securities laws, the Securities and Exchange Commission (SEC) has issued proposed rules that would provide greater transparency and disclosures in the securitization market and provide investors with additional tools to evaluate actions in the securitization market. [read post]
29 Aug 2023, 2:23 am
The forum, called the “export control enforcement information exchange,” will meet today. [read post]
11 Oct 2021, 2:03 am
Many are saying the Securities and Exchange Commission (SEC) should step in and make ESG reporting mandatory. [read post]
29 Mar 2023, 1:00 pm
“I hope it is implemented properly, because although the Dodd-Frank Act permits anonymous and confidential whistleblowing to the Security and Exchange Commission (SEC) and to the Commodity Futures Trading Commission (CFTC), up until the AML law, the Justice Department was not required to accept confidential and anonymous whistleblowing information in any of the reward laws, including false claims that they administer. [read post]
30 Nov 2016, 3:22 am
I’m pulling all this knowledge straight out of Section 4(a) of the Securities Exchange Act of 1934 – the law that established the creation of the SEC. [read post]
2 Aug 2016, 4:57 am
Scrolling feels natural on a smart phone; not so much for a laptop… Conflict Minerals: IPSA Uncertainty Likely to Carry Over to ’17 Here’s the intro from this note from Elm Sustainability Partners: With the Securities and Exchange Commission’s decision earlier this year to forego an appeal to the US Supreme Court of NAM v. [read post]
15 Dec 2021, 4:18 pm
” Whilst Luxembourg’s national data protection law precludes the Commission from commenting on individual cases Amazon disclosed the fine in a filing of its quarterly results with the US Securities and Exchange Commission. [read post]
27 Nov 2015, 9:39 am
His willingness to defer to the national security state occurred most clearly during World War II and later in his work as Chair of the Warren Commission. [read post]
15 Mar 2021, 3:00 am
We have an important speech to consider on the future of enforcement at the Securities and Exchange Commission. [read post]
11 Apr 2012, 6:27 am
They’re back! [read post]
22 Oct 2011, 5:00 am
I know Grits readers will be shocked to learn that the prosecutors who secured the false conviction against Michael Morton in Williamson County are fighting to keep from giving depositions as to how and why exculpatory material in the case was never turned over to the defense. [read post]
27 Mar 2017, 3:09 pm
In its October 2014 decision in In re NVIDIA Corp. [read post]
18 Dec 2024, 10:37 am
Securities and Exchange Commission Rule 10b-5. [read post]
13 Feb 2023, 7:28 am
”Panelist David Olivencia, CEO of Angeles Investors, recalled an exchange with a prospective angel investor who did not qualify as an accredited investor. [read post]
8 Nov 2023, 11:55 am
In December 2022, Congress amended the AMLA whistleblower program of 2020 with the intention of better aligning the AMLA program with successful whistleblower programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
4 Sep 2012, 5:15 pm
Written by: Jay Gould On August 30, 2012, the Securities and Exchange Commission (the “SEC”) released the Dodd Frank Act’s mandated study (the “Study”) on the financial literacy of retail investors which concludes, as you might have predicted, that retail investors are essentially clueless about investing and financial matters generally. [read post]
10 Jul 2018, 5:17 pm
Developments in the past year involving cryptocurrencies have led the Securities and Exchange Commission (“SEC”) to increasingly monitor and regulate ICOs and digital currency trading. [read post]
