Search for: "In Re Securities and Exchange Commission"
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20 Mar 2017, 6:00 am
If the audio is poor, unclear or inaccurate, we may be forced to re-litigate the trial. [read post]
17 Mar 2017, 10:12 am
As the long exchange continues, Judge Spath again makes the point that at the end of the day, there are still protections in place to make sure classified information does not get out at trial, and that the national security interest is still protected because the defense team is cleared counsel: “If Mr. [read post]
14 Mar 2017, 4:27 am
Securities and Exchange Commission, in which the court will decide whether that the five-year statute of limitations on SEC enforcement actions applies to actions seeking disgorgement, arguing that “prior precedent, along with the historical practice, strongly suggests that the SEC is trying to circumvent the statute by essentially calling a dog a cat. [read post]
10 Mar 2017, 4:25 am
Heller, would credit stock exchanges for any fees they may have overpaid the Securities and Exchange Commission. [read post]
6 Mar 2017, 4:26 pm
National Australia Bank, the Court held that Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) does not apply extraterritorially. [read post]
1 Mar 2017, 9:30 pm
Securities and Exchange Commission, and other agencies have long had to defend their regulations in cost-justified terms. [read post]
17 Feb 2017, 8:39 am
At the center was the stock exchange. [read post]
16 Feb 2017, 9:30 pm
Securities and Exchange Commission rule that required resource extraction companies to disclose payments made to foreign governments. [read post]
13 Feb 2017, 5:00 am
The Commission must also provide that a self-regulatory organization may not prohibit the ability of a member to publish or distribute a report solely because the member is participating in a registered offering or other distribution of the covered investment fund’s securities or prohibit such participation because the member has published or distributed a report. [read post]
11 Feb 2017, 6:50 am
Tags: Africa, Dodd-Frank, Securities and Exchange Commission Good riddance (if they’re indeed going) to the Dodd-Frank conflict minerals rules is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
8 Feb 2017, 5:00 am
., 2016 BL 320577 (Sept. 27, 2016), Microsoft Corporation (“Microsoft”) asked the staff of the Securities and Exchange Commission to permit the omission of a proposal submitted by shareholder James McRitchie ("McRitchie") requesting that the board of directors amend certain provisions of its proxy access bylaw. [read post]
6 Feb 2017, 7:56 am
Buyers who are protected by the Securities and Exchange Commission. [read post]
3 Feb 2017, 11:02 am
Securities and Exchange Commission, a warring law faculty, and a scheming mail room clerk all threaten to derail her efforts. [read post]
2 Feb 2017, 9:30 pm
Securities and Exchange Commission pertaining to the ‘‘Disclosure of Payments by Resource Extraction Issuers,’’ the U.S. [read post]
2 Feb 2017, 5:00 am
Dodd-Frank made the Securities and Exchange Commission create a rule on the disclosure of payments by resource extraction issuers. [read post]
1 Feb 2017, 5:57 am
But Compliance Building is about compliance so I quickly looked for some of judge Gorsuch’s opinions involving the Securities and Exchange Commission or private funds. [read post]
29 Jan 2017, 12:40 pm
The firm also failed to re-evaluate the suitability of these products, notwithstanding the risks of non-traditional ETFs such as the risks associated with a daily reset, leverage and compounding. [read post]
27 Jan 2017, 10:28 am
According to a Russian government spokesman, the leaders will “exchange views about the main parameters about current bilateral relations. [read post]
26 Jan 2017, 3:00 am
Here’s an excerpt highlighting some of the ongoing cross-border cooperation initiatives between the UK’s Serious Fraud Office (SFO) & US authorities: The SFO and US regulatory authorities, including the US Department of Justice and the US Securities and Exchange Commission, have also stated that they are committed to cooperating on cross-border investigations. [read post]
19 Jan 2017, 9:30 pm
Recent federal court decisions finding that both the administrative enforcement strategy used by the Securities and Exchange Commission (SEC) and that the structure of the Consumer Financial Protection Bureau (CFPB) were unconstitutional should not be seen as a threat to Dodd-Frank, Zaring argued, because “it is unrealistic to order that these programs be dismantled” and thus “the constitutional law remedies…cannot be taken seriously. [read post]
