Search for: "In Re Securities and Exchange Commission"
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1 Nov 2010, 11:51 am
Securities and Exchange Commission or the Commodity Futures Trading Commission stand to get between 10% and 30% of a penalty that is over $1 million. [read post]
26 Sep 2008, 2:19 pm
In my lawyer life, I spent seven years at the Securities & Exchange Commission, most of them as an enforcement attorney (no, I didn't get a cool badge or anything).I'm no Alan Greenspan, though I've always been fond of the phrase "naked short selling. [read post]
10 Nov 2020, 7:19 am
That could open the door to a brief, but potentially consequential, chairwomanship by Peirce, who has advocated for more aggressive action to promote blockchain-related interests, such as cryptocurrency-based exchange-traded funds and to protect the early distribution of tokens from being deemed securities transactions. [read post]
5 Apr 2024, 4:54 am
U.S. officials believe negotiating a pause in the fighting and the exchange of Israeli hostages held in Gaza for Palestinian prisoners held in Israel is the only way to secure a temporary cease-fire and increase humanitarian aid. [read post]
9 Sep 2024, 9:01 pm
Board of Governors of the Federal Reserve and Securities and Exchange Commission v. [read post]
18 May 2022, 4:32 am
The Commission also intends to use the pivot away from Moscow to quicken its shift to green energy. [read post]
10 Jan 2018, 2:17 pm
Securities and Exchange Commission, 17-130, and Securities and Exchange Commission v. [read post]
7 Jun 2024, 11:00 pm
Organizations must incorporate human-centric security. [read post]
7 Jun 2024, 11:00 pm
Organizations must incorporate human-centric security. [read post]
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]
16 Dec 2011, 9:10 am
Relying principally on the First Circuit’s decision in In re TJX Cos. [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]
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]
7 Jul 2009, 6:22 am
We're still dancing. [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]
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]
