Search for: "In Re Securities and Exchange Commission"
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4 Mar 2024, 5:56 am
And they’re right. [read post]
20 Jan 2022, 8:02 am
Musk’s ire was a former US Securities and Exchange Commission lawyer whom Cooley had hired for its securities litigation and enforcement practice and who had no involvement in the firm’s work for Tesla. [read post]
30 Aug 2024, 3:00 am
In In re Alphabet, the Ninth Circuit held that falsity allegations could survive a motion to dismiss when the complaint plausibly alleged that a company’s Securities and Exchange Commission (SEC) filings warned that risks “could” occur, when in fact those risks had already materialized. [read post]
14 May 2021, 8:01 am
All three bills were re-introductions of bills pressed in the last Congress with the climate and executive compensation bills having previously been reported by the House FSC.The debates on the three securities bills featured several extended colloquies but the upshot of members’ remarks was to reiterate a familiar divide between Democrats and Republicans over the use of the federal securities laws to mandate public company disclosures related to ESG issues. [read post]
10 May 2022, 8:27 am
Gerding was quick to reiterate from Peirce’s remarks that the proposal applies only to public companies subject to Exchange Act reporting requirements and not also to private companies. [read post]
7 Sep 2022, 9:01 pm
HFCAA, among other things, also mandates that, after the PCAOB makes such a determination, the Commission require issuers who retain accounting firms in such jurisdiction to make specified disclosures in their annual reports and prohibit trading in those issuers’ securities if they are identified by the Commission as using such accounting firms for three consecutive years.[10] On December16, 2021, the PCAOB formally determined that, due to the positions taken by the… [read post]
26 Sep 2009, 1:05 pm
NFA is invoking the "ten-day" provision of Section 17(j) of the Commodity Exchange Act ("CEA") and will make these proposals effective ten days after receipt of this submission by the Commission unless the Commission notifies NFA that the Commission has determined to review the proposals for approval. [read post]
20 Jul 2023, 10:44 am
(collectively, “Coinbase”) for failure to register as an exchange, a broker-dealer and a clearing agency, and for failure to register the offering and sale of securities via the Coinbase trading platform in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [read post]
29 Jan 2009, 2:44 pm
The court said the Securities and Exchange Commission was going beyond its statutory authority and effectively ended all mandatory registration of hedge funds with the Securities and Exchange Commission unless and until Congress takes action. [read post]
5 Jun 2024, 9:01 pm
The National Credit Union Administration is expected to re-propose the same rule in the near future, and the Securities and Exchange Commission has included a rulemaking to implement Section 956 of Dodd-Frank on its rulemaking agenda. [read post]
6 Dec 2024, 8:29 am
Commodity Futures Trading Commission, federal prosecutors charged the pair with a slew of fraud and securities crimes. [read post]
31 May 2017, 3:44 pm
Securities and Exchange Commission charged ITT and the company's two top executives with fraud. [read post]
10 Jul 2019, 10:42 am
The user doesn’t control the wallet’s security; the Calibra service does. [read post]
8 Feb 2018, 9:30 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
Customs and Border Protection Officer's Haboring Conviction Reversed While Bribery Conviction Upheld
9 Jun 2008, 3:41 pm
Disappear, don't tell anyone what address you're staying at. [read post]
6 Aug 2019, 11:00 pm
They express themes of gratitude in poetry and using gratitude journals that they might exchange with friends. [read post]
5 Feb 2009, 7:45 am
On February 2, 2009 the Securities and Exchange Commission published the text of its new rules for credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
18 Oct 2018, 9:30 pm
Securities and Exchange Commission (SEC) concluded that two national stock exchanges—the New York Stock Exchange and NASDAQ—failed to demonstrate that the fees they charged for access to market data complied with the Securities Exchange Act of 1934. [read post]
