Search for: "In Re Securities and Exchange Commission"
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17 Jan 2017, 4:19 pm
************************************** Investigations and enforcement actions by the United States Securities Exchange & Commission (the “Commission” or the “SEC”) continue to be a hot topic for the D&O insurance industry and the white collar defense bar. [read post]
16 Jan 2017, 6:37 am
In addition, the Commission will make use of alternative mechanisms provided by the GDPR to facilitate the exchange of personal data with other third countries with which adequacy decisions cannot be reached. [read post]
13 Jan 2017, 9:18 pm
United States Securities and Exchange Commission (10th Cir., December 27, 2016) (holding that SEC ALJs are inferior officers rather than employees, and therefore subject to the Constitution's appointments clause; the ALJ presiding over Bandimere's case held his office unconstitutionally)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case, res judicata, or collateral… [read post]
9 Jan 2017, 8:35 am
Securities and Exchange Commission (SEC) to expedite their investigation of Tyson’s deceptions. [read post]
6 Jan 2017, 5:50 am
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
4 Jan 2017, 3:55 pm
Annual Re-Certification of CFTC Exemptions. [read post]
4 Jan 2017, 4:45 am
They collectively received nearly $9 million in undisclosed transaction-based commissions; none were registered with the Commission as a broker or associated with a registered broker-dealer. [read post]
22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
15 Dec 2016, 6:42 pm
Securities and Exchange Commission (10th Cir., December 6, 2016) (affirming the SEC's disciplinary suspension of McCune (resulting in his being 'permitted to resign' from his employment) because he failed to ‘observe high standards of commercial honor and just and equitable principles of trade’)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case,… [read post]
9 Dec 2016, 6:50 pm
Securities and Exchange Commission, and also a Women’s Law and Public Policy Fellow and Harvard Fellow in Public Interest Law at TransAfrica Forum, a Washington, D.C., based NGO that focuses on U.S. foreign policy toward Africa and the Caribbean. [read post]
2 Dec 2016, 9:30 pm
Cohen to the Securities and Exchange Commission. [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]
27 Nov 2016, 5:14 am
If the purpose of the government was to secure a conviction and punishment, the defense’s offer of LWOP would have done the trick. [read post]
25 Nov 2016, 1:01 am
Securities and Exchange Commission, on Saturday, November 19, 2016 Tags: Accountability, Algorithmic trading, Corporate crime, Disclosure, Financial regulation, Financial reporting, Insider trading, Investor protection, Market conditions, Misconduct, Private equity, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities litigation, Securities regulation, Whistleblowers Lower Performance for Target Pay? [read post]
24 Nov 2016, 2:56 pm
Gender representation on the bench is not easily secured and must be worked hard for. [read post]
22 Nov 2016, 6:51 am
“At this stage, we’re going to need a change in how all parties think about this in order for us to end the situation there. [read post]
21 Nov 2016, 3:00 am
WHAT IS AN EXCHANGE TRADED FUND (ETF)? [read post]
18 Nov 2016, 7:53 am
Rubin of the USMC replaced Captain Waits as the military judge presiding over the commission. [read post]
17 Nov 2016, 9:30 pm
Securities and Exchange Commission (SEC) who oversaw over 50 significant rulemakings related to financial regulation and 2,850 enforcement actions, but who has been criticized by progressive groups as being too lenient towards some large banks, announced that she will step down at the end of the Obama administration, two years before the end of her term—a move that will give President-elect Donald Trump the opportunity to appoint a new SEC Chair and may… [read post]
7 Nov 2016, 9:31 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Individuals, Fined & SanctionedCaldwell International Securities Corporation of Nassau, Bahamas, Greg Allen Caldwell of Austin, Texas and Paul Joseph Jacobs of Austin, Texas submitted an Offer of Settlement in which the firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in… [read post]
