Search for: "In Re Securities and Exchange Commission"
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19 Nov 2013, 2:20 pm
We’re here today to discuss a critical topic at a critical time, and I’d like to thank everyone at NYU Law and the Center on Law and Security, especially Sam Rascoff and Zach Goldman, for inviting me to be part of this conference. [read post]
26 Jul 2023, 3:47 am
On March 21, 2022, the Securities and Exchange Commission (“SEC” or “the Commission”) served a subpoena on Covington & Burling, LLP (“Covington”), a multinational law firm headquartered in Washington, D.C. [read post]
21 Nov 2022, 2:18 am
The Twitter exchange between Riley and Rose is available here. [read post]
3 Oct 2022, 5:56 am
Unspoken in this exchange is the failure of the proposed war crimes legislation to include command or superior responsibility liability. [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]
7 Jul 2009, 6:22 am
We're still dancing. [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]
9 Dec 2014, 1:35 pm
” In terms of impact, Walker also named the Securities and Exchange Commission’s issuance of a subpoena to the House Ways and Means Committee and a committee staffer, seeking evidence relating to an insider trading investigation. [read post]
3 Jan 2007, 3:04 am
Nor would the act's provisions to create a stronger Securities and Exchange Commission have made a difference. [read post]
8 Mar 2011, 1:59 pm
In doing so, the Securities and Exchange Commission (the “SEC”) sought to strike the proper balance among competing investor interests, with full consideration of appropriate lessons learned from recent spectacular failings concerning adviser reporting to investors. [read post]
10 Jan 2024, 2:12 pm
” Not alone, but lonelier then than now before the advent of decisions such as Securities and Exchange Commission v. [read post]
9 Oct 2007, 9:17 am
Two of the more common types of internet investment fraud are scalping and the pump and dump scam: SCALPING On July 9, 2007, the Securities Exchange Commission (SEC) filed securities fraud charges against Darrel and Jack Uselton in the U.S. [read post]
16 Dec 2010, 5:03 pm
American Nursery marketed and sold grapevines, which LCGN and LCGNO produced in exchange for a percentage commission of each sale. [read post]
29 Apr 2010, 2:08 pm
Securities and Exchange Commission (SEC), one fully supported by the relevant statute, Section 10 of the Securities Exchange Act of 1934, that investors do have a right of action against these defendants. [read post]
2 Nov 2009, 2:33 pm
Securities and Exchange Commission backed the petitioners in the case, the agency has not filed any actions enforcing the relevant statute since 1980. [read post]
29 Mar 2018, 9:30 pm
Securities and Exchange Commission (SEC), asking the Division to examine disclosures made by public companies about their chief executive officer pay ratios. [read post]
12 Aug 2011, 8:10 am
Sure, occasionally she'll settle for no money at all, and the charge will be dismissed without even a position statement, and you can get a full release of claims in exchange, but you're 100 percent in the right, so you don't need it. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
10 Feb 2020, 8:27 am
The committee will hear testimony from Nikki Clowers, the managing director of the health care team at the Government Accountability Office; Julie Gerberding, the former director of the Centers for Disease Control and Prevention; Scott Gottlieb, the former commissioner of the Food and Drug Administration; Luciana Borio, the former director for medical and biodefense preparedness at the National Security Council; and Asha George, the executive director of the Bipartisan Commission… [read post]
11 Aug 2011, 6:05 pm
The rules for most private company financings are found under the Securities Exchange Commission’s (SEC) “Rule 506,” which dictates how individuals and startups must conduct themselves when seeking investment funds by selling securities (a share of stock, a convertible note, etc.). [read post]
