Search for: "In Re Securities and Exchange Commission"
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2 Jan 2018, 3:12 am
SEC, about a topic far removed from (and less heated than) abortion rights—namely, whether the Administrative Law Judges (ALJs) who work in the Securities and Exchange Commission (SEC) are hired in a manner that violates the Appointments Clause of the Constitution, Art. [read post]
29 Dec 2017, 7:34 am
It no doubt explains why Spotify and China's internet giant Tencent exchanged equity stakes of just under 10 per cent of each other, and why Tencent now has a $2 billion stake in Snapchat. [read post]
29 Dec 2017, 6:00 am
As 2017 (finally) comes to an end, we’re looking back on an eventful year. [read post]
27 Dec 2017, 6:53 am
Contact the Attorney General’s Office or the State Corporation Commission to see if there are any registered complaints. [read post]
26 Dec 2017, 9:30 pm
Securities and Exchange Commission’s pursuit of “disgorgement”—a type of repayment—is properly understood as a “penalty” within the meaning of a statute imposing a five-year limitation on the imposition of penalties by the SEC. [read post]
15 Dec 2017, 1:02 pm
The findings stated that Marino received commissions of approximately $60,000 from the unsuitable transactions. [read post]
15 Dec 2017, 9:01 am
Annual Re-Certification of CFTC Exemptions. [read post]
15 Dec 2017, 9:01 am
Annual Re-Certification of CFTC Exemptions. [read post]
15 Dec 2017, 6:27 am
The Special Counsel is an investigative and prosecutorial office; it is not a truth commission. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
12 Dec 2017, 11:16 am
Many sessions were led by lawyers who were actively engaged in exchanging lessons on how to effectively advise business clients on the conduct of human rights due diligence. [read post]
11 Dec 2017, 2:41 pm
Tony Kazal purportedly agreed to convert several million units of an unspecified African currency into American dollars in exchange for a “lucrative commission. [read post]
7 Dec 2017, 9:30 pm
Securities and Exchange Commission’s (SEC) Cyber Unit, which the SEC established in September, brought its first enforcement action as a Unit against Dominic Lacroix and his company, PlexCorps, for fraud associated with an Initial Coin Offering that raised up to $15 million. [read post]
6 Dec 2017, 3:00 am
We’re posting memos in our “ICOs” Practice Area. [read post]
5 Dec 2017, 11:00 am
So the British temporized; Parliament suspended the privilege as it applied to the Yankees in England but treated the Yanks held in America as prisoners subject to exchange. [read post]
3 Dec 2017, 9:48 am
” Former National Security Advisor Michael Flynn has entered into a plea agreement with Special Counsel Robert Mueller. [read post]
30 Nov 2017, 8:29 am
Given that, we’re pleased to have the chance to ask you, and now David, the questions for a change. [read post]
29 Nov 2017, 8:42 am
It therefore turned to the Security and Exchange Commission’s own interpretation of the definition of “whistleblower,” which bifurcated whistleblowers seeking awards and whistleblowers seeking the act’s protection against retaliation. [read post]
29 Nov 2017, 5:00 am
But “whistleblower” is defined elsewhere in Section 21F as “any individual who provides … information relating to a violation of the securities laws to the Commission, in a manner established, by rule or regulation, by the Commission. [read post]
23 Nov 2017, 9:30 pm
Securities and Exchange Commission imposes on companies. [read post]
